SEC

Without admitting or denying the findings, Alan Appelbaum agreed to be barred from participating in any securities offerings, but is able to apply for reentry after ten years.

The first fees filed under the MSRB's new rate card model are in line with expectations,but its long term budget growth has some worried about its future.

Vern Breland has agreed to pay a $35,000 fine and is permanently barred from participating in future municipal securities offerings.

The question over how big or small a role artificial intelligence will play in the development of FDTA's standards will need to be answered by both regulators and issuers.

For those of us who study government finance, either for investment purposes or for public policy purposes, complete data sets are far more useful than partial ones that will necessitate ongoing use of legacy PDFs of those issuers that are exempt.

Representatives from the business, academic, legal and other disciplines gathered on Capitol Hill to take aim at the many SEC rule proposals initiated under Gary Gensler's tenure.

The relief means little for traditional municipal issuers but will have an effect on some conduit borrowers and issuers "adjacent" to the municipal market.

The board expects to have FY 2024 fees filed with the Securities and Exchange Commission before Dec. 1.

Officials from the Governmental Accounting Standards Board said that adhering to the Financial Data Transparency Act may make things more complicated.

Without admitting or denying the findings, Luther Speight and his firm Luther Speight and Company agreed to pay civil penalties of $20,000 and $10,000, respectively.

The Municipal Securities Rulemaking Board heads into its new fiscal year focused on market regulation, improving data for the muni market, and updating its EMMA technology platform.

The firm, without admitting or denying the findings, agreed to pay a $60,000 civil penalty.

The amendments exempt those who've already qualified as a municipal advisor representative from retaking the Series 50 exam.

Securities and Exchange Commission chairman Gary Gensler, speaking in front of the Senate Banking Committee, defended his tenure and the 22 rulemaking proposals he's adopted in the last few years.

Brandon Comer and his firm Comer Capital Group are in talks to settle the Securities and Exchange Commission charges against them ahead of a pretrial conference Nov. 17.

The action does not have immediate implications for municipal issuers but could give the muni market a sense of how the SEC is beginning to think about cybersecurity risks.

Cincinnati-based Fifth Third Securities is the seventh firm charged by the Commission for failing to comply with the appropriate disclosures in connection with the limited offering exemption.

The rule amendments would create an exemption for previously qualified municipal advisors to forego requalification after a lapse in working for a municipal advisor.

The SEC has adopted amendments that will increase minimum liquidity requirements, among other features but will only affect the muni market on the margins.

Vern Breland has been permanently barred from participating in any municipal securities issuance after he and the city's municipal advisor were charged with misleading investors on two offerings.