Sarah Wynn covers securities and infrastructure for the Washington bureau.
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After getting national attention for allegedly swindling millions from a disabled billionaire client, brokers Ami Forte and Charles Lawrence have been barred from the industry.
October 21 -
Issuers will be looking to see what Securities and Exchange Commission Chair Jay Clayton says about disclosure.
October 18 -
The Securities and Exchange Commission issued a non-public letter to the city of Atlanta last week, prompting a possible investigation into its airport.
October 17 -
The dealer entered into two municipal bond orders into a recently deceased customer's account.
October 17 -
The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.
October 16 -
Years after the Securities and Exchange Commission enacted a rule to require floating net asset values, finance officers are fighting the legislative malaise to try to undo it.
October 16 -
The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.
October 15 -
MSRB Chief Education Officer Ritta McLaughlin will be the fifth senior official to leave the MSRB in the last couple of months.
October 10 -
Though many participants were pleased with changes the Municipal Securities Rulemaking Board has proposed for its fair dealing guidance, some worried about new compliance expectations.
October 9 -
The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.
October 9 -
Administrative failures or a lack of understanding of the rule may be to blame.
October 7 -
Municipal advisors can begin taking their principal exams in November.
October 4 -
The Securities and Exchange Commission is seeking comment on exemptive relief for municipal advisors in some activities in private placement deals, eliciting fierce resistance from broker-dealer groups.
October 3 -
Issuers look for more options in their private placement deals amid conversation on broker dealers’ and municipal advisors’ roles.
October 3 -
The Financial Industry Regulatory Authority previously sanctioned UBS in 2015 for similar violations.
October 2 -
Ernesto Lanza will be leaving his position at Clark Hill to go to the SEC's Office of Municipal Securities, sources said.
September 30 -
At the SEC's invitation, Bond Dealers of America submitted a proposed framework for an exemptive order aimed at muni advisors on private placement deals.
September 26 -
New MSRB Chair Edward Sisk will start in his new role on Oct. 1.
September 25 -
The Municipal Securities Rulemaking Board is reviewing its size and the composition of its board, and projects an operating deficit for the coming year.
September 24 -
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