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Kyle Glazier

Recent Stories From this Author

NABL, SIFMA: Ratepayers' JeffCo Appeal Undermines Market
December 19, 2014 Municipal bond groups are seeking federal appeals court guidance in a ratepayer appeal of part of Jefferson County, Ala.'s...

Goldsholle to Join SEC
December 18, 2014 The Securities and Exchange Commission has named former Municipal Securities Rulemaking Board general counsel Gary Goldsholle...

NAMA: Grant Exemptions for Registered MAs
December 16, 2014 The National Association of Municipal Advisors is urging the Securities and Exchange Commission to create exemptions from...

FINRA Fines Two Firms $7,500
December 15, 2014 The Financial Industry Regulatory Authority has fined two firms a total of $7,500 for violations of Municipal Securities...

SEC: Comment on 15c2-12 Anytime
December 12, 2014 The Securities and Exchange Commission has received many comments on its rule 15c2-12, but is able to respond on only a...

Gaunt: MCDC Enforcement Actions Will Make Clear SEC's Views
December 11, 2014 Offering document misstatements related to continuing disclosure violations has been widespread and upcoming enforcement...

Dealers, Non-Dealer Firm Want Changes to Gifts Proposal
December 9, 2014 Dealers said the MSRB's proposal to extend gifts and gratuities regulation to municipal advisors should be reworked to...

SEC Approves Best-Ex Standard
December 8, 2014 The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board's proposal to require muni...

Harvey, Ill. Settles SEC Charges
December 5, 2014 The city of Harvey, Ill., has agreed to settle Securities and Exchange Commission charges that it misled bond investors by...

SIFMA Seeking Legislative "Fix" to MA Rule To Ease Burdens on Underwriters
December 4, 2014 The Securities Industry and Financial Markets Association is seeking a legislative fix to the municipal advisor rule so that...


As it steps up its efforts to police the municipal securities market, the regulator is turning to potentially career ending sanctions for municipal officials.

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