-
Mary Simpkins, who joined the SEC's Office of Municipal Securities in November 1997, is retiring.
March 27 -
United First Partners was fined for reporting and supervisory rule violations as part of a wider FINRA disciplinary action involving the firm.
March 26 -
The American Securities Association's federal appeals court case regarding an SEC order has been stayed until Aug. 13.
March 25 -
NewEdge Securities was also ordered to pay disgorgement of $750,746 plus interest.
March 24 -
Natural disaster disclosure warrants 'a special focus,' NFMA's 2025 chair says.
March 20 -
The MSRB has said it is amending a pending rule change that would greatly shorten the reporting time standard for municipal bond trades, which could cause problems for certain transactions, dealer firms said.
March 17 -
SEC probe relating to a cyberattack on a Michigan township's bond sale could involve looking into whether investors are getting an accurate picture of the issuer's credit risk, a former SEC enforcement attorney said.
March 12 -
Court challenges to self-regulatory organizations may have the potential to trigger a financial crisis, a law professor warns.
March 12 -
The MSRB said its board at a previously scheduled meeting Thursday authorized the filing of further amendments to Rule G-14 .
March 7 -
FINRA found that Tradeweb had violated an MSRB rule by failing to include the 'NTBC indicator' when reporting certain municipal securities transactions.
March 6
