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Morgan Stanley, Ameritas Investment Company LLC and a former Stifel broker agreed this week to pay the fines for violating multiple muni securities rules.March 26
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First Manhattan Co. bought municipal securities from an unaffiliated dealer without making a reasonable effort to obtain fair and reasonable prices, FINRA said.March 25
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Perhaps most important, nobody involved in this issue has argued that issuers or anybody else would benefit in any way from exempting MAs from appropriate regulation.March 13
CEOBond Dealers of America
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NAMA believes the order will strengthen protection for issuers in keeping with the recent reforms in the municipal market.March 11
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Sources say action on the SEC's proposed exemptive order has slowed, though it could garner attention at next week's conference.March 5
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SCE&G, and former SCANA executives, violated securities laws while overseeing the defunct V.C. Summer project, the SEC said.February 28
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Walter told The Bond Buyer she has been hearing the same push for transparency since her start at the SEC.February 24
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The SEC said that the timeliness of disclosures is a “major challenge” in the secondary market for municipal securities.February 19
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The investigation had appeared likely to be tied to a fraud case involving the New York State Common Retirement Fund.February 18
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The American Securities Association sent a letter to the SEC regarding the regulator's proposed exemptive order for muni advisors, calling it an "ill-advised effort."February 13
