Sarah Wynn covers securities and infrastructure for the Washington bureau.
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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 -
