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Eliseo Sampayo was fined $20,000, half of which will go to the Municipal Securities Rulemaking Board for violating its rules.September 23
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An independent municipal advisor said recent efforts made by broker-dealer advocacy groups are part of a "membership battle."August 17
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SIFMA said Friday it had filed suit in Federal court in Washington D.C. asking the court to vacate the SEC’s Temporary Conditional Exemption.August 14
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The pandemic presents new challenges to regulators examining municipal advisor firms.August 14
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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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Market participants say issuer coronavirus disclosures have stagnated due to tax season and issuer fears of future legal ramifications.July 23
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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
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Several groups are arguing their case to keep their seats on a smaller board.July 16
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Conditions under a recently announced temporary exemption are narrow, SEC staff said, despite push back from dealers.July 8
