Connor Hussey

Panelists at the SEC, FINRA and MSRB joint Compliance Outreach Program looked at the state of municipal advisor regulation and how the Commission could respond going forward.

Drexel Hamilton and four of its representatives were charged by the Financial Industry Regulatory Authority for violating the retail order period eligibility criteria set by municipalities.

The board is seeking one municipal advisor, one broker-dealer and two public representatives to join the board for FY 2026.

Rudy MeJia Jr. has been fined and given an eight-month suspension from associating with any FINRA member firm for failing to disclose that he opened a private investment pool and was receiving commission for sales on behalf of it.

The board has launched the new Technology Advisory Group and relaunched the Compliance Advisory Group and is seeking volunteers for both.

Lawyers are beginning to flesh out what the specifics of what a second Trump administration may look like, and what we can expect before Biden passes the baton.

The board has put out fourteen questions on its fee setting process and will be accepting responses until January 31.

Municipal advisor Hamlin Capital Advisors and Michael Ferrell Braun have been charged by the SEC for failing to disclose material conflicts of interest to its charter school clients.

The Municipal Securities Rulemaking Board held its first board meeting over Oct. 23-24, where it approved a number of rule proposals and requests.

The Securities and Exchange Commission has charged Alliance Global Partners with publishing daily quotes at above market prices on between 4,300 and 6,500 different municipal bonds over a two-year period.

In FY 2025, the Securities and Exchange Commission's Examination Division will be closely monitoring for compliance with MSRB Rule G-42 on the core standards of municipal advisors, in addition to enforcing the T+1 settlement cycle.

The longtime public finance stalwart, known for building out S&P's public finance practice and working on virtually every big public finance project of the past forty or so years, has passed away at 89.

The city faces no monetary penalty or monitorship in the final judgment in what those involved are calling an unprecedented move for SEC litigation.

The Municipal Securities Rulemaking Board will hold its first meeting of fiscal 2025 on October 23 and 24, under its new chair, Warren "Bo" Daniels.

The Hampton County School District in Varnville, South Carolina has won its dispute over the tax-exempt status of Series 2010 general obligation bonds.

The board has requested comment on additional disclosures that state and local governments would need to provide in financial statements but faces a long timeline for implementation.

Data from the Municipal Securities Rulemaking Board indicates that trade volume may stay high after a consistent third quarter.

The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.

The board kicks off the new fiscal year with a new budget, a 2.9% increase from the prior year.

The U.S. District Court for the Southern District of California entered a final judgment against Matthias O'Meara and Choice Advisors, fining them $312,572 and $187,337, respectively.