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Kyle Glazier

Recent Stories From this Author

Lawyers Group Warns SEC Charges Will Hurt All Muni Officials
November 21, 2014 The International Municipal Lawyers Association has filed a friend of the court brief asking a federal appeals court to...

MSRB Seeks SEC Approval for MA Qualification Standards
November 19, 2014 The Municipal Securities Rulemaking Board is asking the Securities and Exchange Commission to approve the MSRB's proposal to...

SEC Adopts Rules to Prevent Technology Failures at SROs, ATS'
November 19, 2014 The Securities and Exchange Commission has unanimously approved new rules to require self-regulatory organizations and...

Judge Vacates SEC's Allen Park Fraud Judgments
November 19, 2014 A federal judge wants more information on bond firms involved in a $31 million borrowing by Allen Park, Mich. that was the...

Issuers Head to the MCDC Wire
November 18, 2014 Many issuers mulling whether to self-report disclosure violations under a Securities and Exchange Commission initiative will...

MSRB, FINRA Propose Principal Trade Disclosure
November 17, 2014 The Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board are proposing rules that would...

FINRA Fines Three Firms, Expels Another
November 17, 2014 The Financial Industry Regulatory Authority has fined three firms $32,500 and expelled another from FINRA membership for...

Muni Research Firm Urges SEC's White to Tighten Disclosure Rules
November 14, 2014 A municipal market research firm is urging the Securities and Exchange Commission to conduct a review of its municipal bond...

Oral Arguments in Bid-Rigging Case Next Year
November 13, 2014 A federal appeals court appears likely to hear oral arguments in the case of three convicted UBS AG bid riggers early next...

Issuer Discloses MCDC Document
November 12, 2014 An issuer has publicly disclosed its agreement to participate the Municipalities Continuing Disclosure Cooperation initiative,...


The Allen Park, Mich., case marks the first time a city official has been charged on the theory that he "controlled" the persons who committed the primary securities law violations, even though he isn't alleged to have participated or even known of the conduct at issue.

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