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Dealer groups want the SEC to examine broker-dealers and municipal advisors equally.
January 8 -
The Securities and Exchange Commission plans to focus on protecting Main Street investors in municipal bonds.
January 2 -
The investigation appears to be linked to the supervision of Deborah Kelley, a broker who was convicted and sanctioned for bribing a state pension fund officer.
December 31 -
The orders issued Dec. 23 bring to a close the Securities and Exchange Commission enforcement action against Navnoor Kang, Deborah Kelley and Gregg Schonhorn.
December 24 -
In response to the SEC's complaint, the former chief business officer of a California school district said he acted in good faith.
December 23 -
The Municipal Securities Rulemaking Board will require more data starting Nov. 30, 2020.
December 20 -
Executive search firm Spencer Stuart has been calling industry leaders asking for feedback on the organization.
December 20 -
The SEC chairman’s comments are consistent with his record, which has included repeated calls for the MSRB to take steps to be sure investors are aware that issuer financials filed to EMMA can often be many months old.
December 10 -
The proposal would impact the private placement business and may require amendments of MSRB rules.
December 10 -
The Financial Industry Regulatory Authority found D.A. Davidson & Co. provided inaccurate pricing in issue price certificates.
December 6