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Working in the public interest was "very satisfying," the longtime SEC lawyer said.
April 23 -
FINRA fined three individuals a total of $40,000, a settlement document shows
April 22 -
Responses to an MSRB request for comment indicated broad support for an option designed to modernize delivery of municipal fund securities disclosure documents, but there was less unanimity regarding the need for a stand-alone time of trade disclosure rule.
April 17 -
The MSRB's rate card RFI and municipal fund securities will be among agenda topics at next week's quarterly board meeting.
April 16 -
"Settlor's remorse" is no justification for upsetting a settled order, SEC says.
April 15 -
States could face some difficult times ahead, experts say.
April 14 -
In a 52 to 44 vote Wednesday, the Senate voted to confirm the nomination of President Trump's pick to lead the SEC.
April 10 -
The top 25 state and local pension funds alone have seen the value of their public equities investments drop by a total of nearly a quarter of a trillion dollars in 2025, with roughly $169 billion of those losses coming during the four trading days that followed the Trump administration's April 2 announcement on global tariffs, a think tank said Wednesday.
April 9 -
As an alleged fraud scheme puts a spotlight on due diligence, some say it may be time to rethink practices in that area amid the rise of AI.
April 4 -
Fallout from the Legacy Cares deal includes bondholder lawsuits against the underwriter and bond counsel, payment defaults, a Chapter 11 bankruptcy, and now fraud charges from the SEC and DOJ.
April 2
