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The settlement in which Roosevelt & Cross, Inc. agreed to pay $1 million is part of a now more than two-year crackdown on "flipping" arrangements.11h ago
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Details of the pending investigation are sketchy but the legislation improved the value of a then-bankrupt FirstEnergy subsidiary's municipal bonds.September 17
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The action shows the SEC's focus on the often risky charter school sector.September 14
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Regulators found Stifel effected 56 pairs of pre-arranged transactions and the firm did not have a supervisory system reasonably designed to catch that activity.September 3
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A judge ruled Monday that the facts of the case supported a finding the defendants broke the law.August 18
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Changes to the MSRB come a year after the proposal of legislation that would decrease the size of the board and increase the cooling off period for public board members.August 6
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Marshall will still keep her position as chief compliance officer as she also takes on the role of interim chief regulatory officer. Lanny Schwartz left his position as chief regulatory officer almost a year ago.July 31
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Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.July 29
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In a virtual meeting, the board will set its budget, but won't select an incoming class of board members, because of a proposed size change.July 22
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This is the latest case to involve 'flipping' — improperly allocating bonds meant for retail customers and instead selling them to other market participants — following multiple related actions made by the SEC over the years.July 21
