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Kenneth E. Bentsen Jr., the securities industry trade group's CEO, warned against a proposal to exempt some muni advisors from registering as broker-dealers.
December 5 -
The Municipal Securities Rulemaking Board assigned muni market veterans to give input on rules and transparency related to municipal fund securities.
November 21 -
“The channel doesn’t matter in terms of responsibility for the information,” said SEC Chairman Jay Clayton.
November 14 -
Major banks accused of manipulating the variable-rate market are seeking to get the court to toss out the second amended whistleblower complaint filed by municipal advisor Johan Rosenberg.
November 13 -
The changes will slim down underwriters' disclosures to issuers, which many believed had become too lengthy and wordy to be useful.
November 11 -
The SEC brought four civil lawsuits and 10 stand-alone administrative proceedings, according to its annual report released Wednesday.
November 6 -
The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.
November 6 -
Dealer groups believe that some sections of the proposed amended guidance such as complex financing and disclosure standards would add complexity to the rule.
October 30 -
Baker McKenzie created a new group to integrate regulation and enforcement in a move to align with the Securities and Exchange Commission's practices.
October 29 -
The Municipal Securities Rulemaking Board plans a review after pressure from Sens. John Kennedy and Elizabeth Warren to change the makeup of its membership.
October 25