Bond Buyer'Take it seriously,' SEC's Sanchez warns municipal bond market1 hour agoCaitlin DevittBy Caitlin Devittmore_vert
Business WireBoard of BlackRock Municipal Income Fund, Inc. (MUI) Approves Conversion to Unlisted Closed-End Interval Fund ...4 days agomore_vert
The National Law ReviewSEC Resolves First Case Under New Municipalities Continuing Disclosure Cooperation InitiativeMay 29Mary P. HansenBy Mary P. Hansenmore_vert
Law360SEC Scores Win In $119M Rochester, NY Muni Bond SuitApr 15Katryna PereraBy Katryna Pereramore_vert
Bloomberg LawSEC Prevails Against Muni Bond Adviser on Fee Disclosure (1)Apr 16Martina BarashBy Martina Barashmore_vert
GoverningThe Coming Fight Over Municipal Financial DataNov 14, 2023Girard MillerBy Girard Millermore_vert
Reuters.comMorgan Stanley is fined by US regulator for municipal securities violationsFeb 15more_vert
Bond BuyerSEC seeks more feedback for one minute reporting proposalApr 23Connor HusseyBy Connor Husseymore_vert
Law360SEC Inks Deal To End Oppenheimer Muni Bond Disclosure CaseFeb 7Hailey KonnathBy Hailey Konnathmore_vert
Bond BuyerSEC seeing many unregistered MAs in P3s, charter schoolsApr 3Connor HusseyBy Connor Husseymore_vert
Bond BuyerMSRB seeking SEC approval of new remote supervision requirementsMay 13Kyle GlazierBy Kyle Glaziermore_vert
Bond BuyerCybersecurity disclosure considerations for municipal issuersMar 14Edward Fierro & Sarah TahirBy Edward Fierro & Sarah Tahirmore_vert
Bond BuyerSEC wins case against Rochester MAs over conflicts of interest disclosureApr 17Connor HusseyBy Connor Husseymore_vert
Bond BuyerRochester MAs, SEC battle over alleged conflict of interestJan 23Connor HusseyBy Connor Husseymore_vert
Skadden, Arps, Slate, Meagher & Flom LLPFor Financial Institutions: Reminder That Federal Political Activity Can Implicate Certain Pay-to-Play Rules | InsightsJan 17more_vert
Bond BuyerRochester MAs denied motion to dismiss in SEC caseMar 5Connor HusseyBy Connor Husseymore_vert
Bond BuyerMuni advisor to Harvey, Illinois library district charged $86000 by SECJan 29Connor HusseyBy Connor Husseymore_vert
Bond BuyerNew MSRB Rule G-46 on solicitor municipal advisors in effectMar 1Connor HusseyBy Connor Husseymore_vert
The Daily Record (Rochester, N.Y.)Judge+rules+bond+adviser+for+Rochester+breached+fiduciary+duty+in+SEC+caseApr 15Bennett LoudonBy Bennett Loudonmore_vert
BloombergMuni Regulator Warns About Risks of Buying Build America BondsApr 26Nic Querolo & Amanda AlbrightBy Nic Querolo & Amanda Albrightmore_vert
InvestmentNewsEdward Jones to pay $20 million for bond overchargesDec 14Mason BraswellBy Mason Braswellmore_vert
Compliance WeekMorgan Stanley fined $1.6M by FINRA over municipal securities closeoutsFeb 16Aaron NicodemusBy Aaron Nicodemusmore_vert
InvestmentNewsFinra fines Morgan Stanley $1.6M over muni transaction shortfallsFeb 15Leo AlmazoraBy Leo Almazoramore_vert
Bond BuyerMSRB files one minute reporting window amendments with SECJan 16Connor HusseyBy Connor Husseymore_vert
The National Law ReviewACCELERATING EMMA: Time and Price in Municipal Securities TransactionsJan 29Peter D. HutcheonBy Peter D. Hutcheonmore_vert
InvestmentNewsNewEdge Securities fined over bond pricing shortfallsMar 8Leo AlmazoraBy Leo Almazoramore_vert
Bloomberg LawSEC Allowed to Proceed With Rochester, N.Y., School Bond ClaimsMar 5Martina BarashBy Martina Barashmore_vert
NorthJersey.comMontclair financial analyst was sanctioned by SEC in JuneSep 29, 2023Nicholas KatzbanBy Nicholas Katzbanmore_vert
Bond BuyerSEC settles with California MA over breach of fiduciary dutySep 26, 2023Connor HusseyBy Connor Husseymore_vert
Montclair LocalMontclair Financial Consultant, Charged by SEC with Failing to Register as Municipal Advisor, ResignsSep 28, 2023Liz GeorgeBy Liz Georgemore_vert
MSNSEC Closing Salt Lake City Office After Failed Crypto Case Against Debt Box7 days agoMengqi SunBy Mengqi Sunmore_vert
The National Law ReviewMaximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client AbuseFeb 12Peter D. HutcheonBy Peter D. Hutcheonmore_vert
InvestmentNewsMuni funds with large chunks of non-rated bonds 'a red flag'Dec 20Jessica ToonkelBy Jessica Toonkelmore_vert
The National Law ReviewThe Reach Too Far: SEC Sues Over Botched School AuditNov 21, 2023Peter D. HutcheonBy Peter D. Hutcheonmore_vert
Bond BuyerAccused muni advisor in talks to settle SEC chargesAug 1, 2023Connor HusseyBy Connor Husseymore_vert
InvestmentNewsSchwab announces money market fund updates in light of SEC's reformDec 15Darla MercadoBy Darla Mercadomore_vert
Bond BuyerSEC charges of unregistered muni advisor illustrate a growing problemJul 3, 2023Connor HusseyBy Connor Husseymore_vert
Bond BuyerRochester municipal advisor calls for partial judgment in SEC fraud caseJun 26, 2023Connor HusseyBy Connor Husseymore_vert
Bond BuyerSEC charges seventh firm for violating limited offering exemptionJul 20, 2023Connor HusseyBy Connor Husseymore_vert
Business WireBlackRock Municipal Income Fund, Inc. (MUI) Announces Tender Offer Contingent Upon Approval of Conversion of ...May 3more_vert
SEC.govSEC Charges State of New Jersey for Fraudulent Municipal Bond Offerings; 2010-152; Aug. 18, 2010Aug 19, 2010more_vert
OrrickThe SEC's Proposed New Climate-Related Disclosure Requirements for Public Companies: What Do They Mean for ...Jun 8, 2022more_vert
TAPinto.netSecurities and Exchange Commission Charges Millburn Financial Advisor for Not Registering as A Municipal AdvisorOct 8, 2023Elise Phillips MargulisBy Elise Phillips Margulismore_vert
Bond BuyerSEC's ABS proposal could spell added costs for issuersMar 7, 2023Connor HusseyBy Connor Husseymore_vert
Deccan HeraldNo bar on political parties from contesting municipal polls, allocation of symbols not arbitrary: Delhi HCApr 11more_vert
OrrickA Teachable Moment: Latest SEC Enforcement Actions Remind Underwriters of Limited Offering Exemption's ...Sep 20, 2022more_vert
ArentFox SchiffSEC Steps Up Enforcement With Respect to Municipal Bond OfferingsOct 11, 2022Les Jacobowitz & Paul E. GreenwaltBy Les Jacobowitz & Paul E. Greenwaltmore_vert
OrrickSEC Proposes New Guidance on Role of Municipal Advisers in Private PlacementsOct 28, 2019more_vert
MintzSEC's Proposed Broker-Dealer Exemption May Apply to “Finders” for Municipal SecuritiesOct 13, 2020Steve GanisBy Steve Ganismore_vert
Hunton Andrews Kurth LLP2023 SEC Municipal Securities Disclosure Conference – Voluntary Disclosure and FDTA Structured Data Present ...May 22, 2023more_vert
Akin Gump Strauss Hauer & Feld LLPSEC Announces Enforcement Actions Under its Muni Bond Disclosure InitiativeAug 29, 2016Lucas F. Torres & John Patrick ClaytonBy Lucas F. Torres & John Patrick Claytonmore_vert
The Indian ExpressNo bar on political parties to contest municipal polls, adoption of election symbols reasonable: Delhi High CourtApr 12more_vert
OrrickThe SEC's Proposed New Cybersecurity Disclosure Requirements for Public Companies: What Do They Mean for ...May 16, 2022more_vert
Morgan LewisProposed Regulation Best Execution: SEC Considers Market Structure ShakeupJan 17, 2023Eden Nebel, Kyle D. Whitehead & James E. DoenchBy Eden Nebel, Kyle D. Whitehead & James E. Doenchmore_vert
WilmerHaleSEC Adopts Rules Shortening the Standard Settlement Cycle to T+1Apr 13, 2023Eliza Gonzalez & Bruce H. NewmanBy Eliza Gonzalez & Bruce H. Newmanmore_vert
Barnes & ThornburgSEC Says Municipal Bond Disclosures Should Be More Frequent, Forward-Looking in Light of COVID-19 | AlertsJun 15, 2020more_vert
WilmerHaleSEC Amends Rule 15c2-11 to Enhance Publicly Available Information For Securities Quoted in the Over the Counter ...Oct 29, 2020Bruce H. NewmanBy Bruce H. Newmanmore_vert
Reuters.comThe SEC pay-to-play rule for investment advisers as it turns 12Mar 1, 2023Tyler Rosen & Ki HongBy Tyler Rosen & Ki Hongmore_vert
Compliance WeekSEC fines PNC unit over municipal bond disclosure lapsesDec 22, 2022Adrianne AppelBy Adrianne Appelmore_vert
Vinson & Elkins LLPSEC Proposes New Cybersecurity Rules for Market Entities | InsightsApr 11, 2023more_vert
Sites@DukeThe Impact of COVID-19 on the Municipal Securities Market During the Spring of 2020Sep 21, 2020Sherry H. ZhangBy Sherry H. Zhangmore_vert
Compliance WeekLoop Capital fined $100K over municipal adviser registration violationsSep 14, 2022Aaron NicodemusBy Aaron Nicodemusmore_vert
Bond BuyerDave Sanchez to lead SEC Office of Municipal SecuritiesMar 17, 2022Connor HusseyBy Connor Husseymore_vert
Bond BuyerSEC upholds FINRA ruling on firm that charged excessive mark-upsApr 5, 2022Connor HusseyBy Connor Husseymore_vert
Reuters.comRBC resolves U.S. SEC charges over bond abuses, is finedSep 17, 2021Jonathan StempelBy Jonathan Stempelmore_vert
The Wall Street JournalSEC Charges Rochester, N.Y., Misled InvestorsJun 14, 2022Heather GillersBy Heather Gillersmore_vert
InvestmentNewsUBS slapped with $10 million fine for SEC violationsJul 20, 2020Nicole CaspersonBy Nicole Caspersonmore_vert
Foley & Lardner LLPIssuers and Conduit Borrowers of Municipal Securities: Don't Neglect Your Continuing Disclosure Obligations Under ...May 7, 2020Heidi H. Jeffery, Dana Lach & Laura L. BilasBy Heidi H. Jeffery, Dana Lach & Laura L. Bilasmore_vert
Norton Rose FulbrightTop US SEC officials urge voluntary municipal securities COVID-19 disclosure: Have they overstated their case ...Jun 3, 2020Lawrence A. Bauer, Paul A. Braden & Fredric A. WeberBy Lawrence A. Bauer, Paul A. Braden & Fredric A. Webermore_vert
International Monetary FundFinance & Development, September 2011 - Municipal FalloutDec 15, 2011Bertrand Candelon, Rabah Arezki & Amadou SyBy Bertrand Candelon, Rabah Arezki & Amadou Symore_vert
InvestopediaWeighing The Tax Benefits Of Municipal SecuritiesMay 30, 2018Rebecca BaldridgeBy Rebecca Baldridgemore_vert
Bond BuyerSEC charges two firms, 18 people in muni flipping schemeAug 14, 2018Lynn HumeBy Lynn Humemore_vert
Lowenstein Sandler LLPGovernment's Focus on Eradicating Municipal Bond Fraud Is Evident After Two City Officials Are Criminally ChargedApr 28, 2016more_vert
The Oklahoma DailySEC scouting: What Norman leaders learned about OU's future conference from Arkansas, Alabama, KentuckyApr 11, 2023Collin Mcdaniel, Mason Young & Edward RealiBy Collin Mcdaniel, Mason Young & Edward Realimore_vert
Bond BuyerErnesto Lanza is joining the SEC's muni securities officeSep 30, 2019Sarah WynnBy Sarah Wynnmore_vert
BloombergSEC Settles With Firms Over `Flipping' New Muni Bond IssuesAug 14, 2018William SelwayBy William Selwaymore_vert