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In a move that kicks the can down the road at the very least, the Commission has begun a process that often results in outright rejection.
April 23 -
The SEC has won a partial victory against Choice Advisors and its principal Matthias O'Meara for their role in acting as unregistered brokers and for engaging in a fee-splitting arrangement.
April 23 -
The board approved that step at its second quarter board meeting held this week.
April 19 -
The SEC won its case against Richard Ganci and Richard Tortora of Capital Markets Advisors over conflicts of interest present in their fee arrangement in connection to a $119 million offering for the City of Rochester, New York.
April 17 -
Representatives from the Securities and Exchange Commission gathered Tuesday to discuss some of their examination priorities and some of the trends they're seeing outside of exams.
April 3 -
The House Financial Services Subcommittee on Oversight and Investigations gathered in Tennessee on Monday to discuss the implications of the SEC's newly finalized climate rule.
March 19 -
While the SEC's cybersecurity rule does not apply to municipal issuers, there are a few points discussed in the Adopting Release that may be useful for municipal market participants.
March 14 -
The new SEC climate rule does not apply directly to municipal issuers but they may very well be on the hook for violating SEC antifraud provisions if they don't disclose those risks defined in the new rules.
March 12 -
The denied motion will give Rochester MAs Richard Ganci and Richard Tortora of Capital Markets Advisors the opportunity to motion for summary judgment, giving the judge a chance to consider all of the evidence present in the case.
March 5 -
Dealer groups look forward to the upcoming meetings to discuss the future of Municipal Securities Rulemaking Board fees.
March 5