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The SEC's Investor Advocate said muni market reform will be one of five areas for "significant time and attention."
June 29
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The new guidance details conduct that may put advisors in violation.
June 29
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The SEC's chair said the commission's fiscal 2018 budget request would help enforcement and examinations.
June 27
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The MSRB gave participants guidance on complaint processes by releasing codes for recordkeeping.
June 19 -
About a quarter of registered municipal advisory firms have no advisors qualified through the Series 50 exam.
June 19
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Improving market participants' access to guidance and data are future goals for the MSRB.
June 19
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The Treasury Department is echoing state and local groups, saying some munis should be considered HQLA.
June 13
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The MSRB's addition of an exception to its proposal requiring CUSIPs was spurred by market comments.
June 2 -
A former Sterne Agee & Leach managing director pleaded guilty to lavishing a portfolio manager at New York state’s pension fund with trips to luxury vacation destinations in exchange for steering hundreds of millions in trading business her way.
May 31
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The MSRB has filed a series of changes to its rule on customer account transfers.
May 30
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Groups and companies representing bankers and investors are asking the SEC to further tailor its event disclosure proposal.
May 25
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The GFOA will continue its efforts to narrow the SEC's events notice proposal in the wake of its letter on the topic.
May 22 -
Issuers and others suggested market participants come together to narrow the SEC's proposal on disclosing alternative debts.
May 22
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Panelists are concerned some issuers may enter into bank loan agreements that can hurt their finances.
May 18 -
MAs will soon be subject to continuing education requirements following SEC approval of MSRB proposal.
May 17 - Dealers, issuers criticize SEC material event disclosure proposal as too broad, investors support it
Issuers, dealers want SEC to rethink its event notice disclosure proposal; investor groups support it
May 16 -
All debt obligations should be disclosed without regard to materiality, NFMA said in a letter to the SEC.
May 15
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Jay Clayton became the 32nd chair of the SEC after being sworn into the rule on Thursday.
May 4 -
The MSRB has released guidance explaining how its rules relate to solicitor municipal advisors.
May 4
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The CHOICE Act cleared the House Financial Services Committee and will move to the full House.
May 4
