SEC

The proposal would prevent the sale of asset -backed securities tainted by any material conflict of interest and commenters feel that munis should be excluded from the final rule.

But the Securities and Exchange Commission's best-execution proposal, largely dismissed as duplicating an existing Financial Industry Regulatory Authority edict, could have wide-ranging implications for trading firms in options, bonds, and crypto securities as well as equities.

The Securities and Exchange has updated its frequently asked questions page for the registration of municipal advisors, providing guidance on Form MA, Form MA-I and Form MA-NR

The Securities and Exchange Commission proposal would require all market entities to implement policies and procedures to address cybersecurity risks.

The fall of Silicon Valley Bank is forcing regulators to take a closer look at asset structure and the integrity of depository institutions, which will likely include the issuers of securities.

Municipal securities could be exempt from the proposal and the Commission invites commenters to lay out why that should be the case.

The proposed Rule G-46 seeks to clarify certain rules specific to solicitor municipal advisors, a very specific group of professionals.

The Securities and Exchange Commission's examination priorities for the year include big ticket items like Regulation Best Interest.

Open data standards will help Flint "tell its story" and benchmark itself against other cities, said CFO Robert Widigan.

BVAL marketed its bond valuation methods as sophisticated but sometimes based the valuation on a single broker quote, the SEC said.

The MSRB's CEO sat down to discuss regulatory developments in 2023, the board's efforts on technology and other topics.

Some industry observers still question the need for machine-readable municipal disclosure.

The Securities and Exchange Commission's Public Finance Abuse Division began looking in new directions, charging five different firms with violating 15c2-12 limited offering exemptions in addition to going after issuer officials.

Regulators have ambitious plans for 2023, which include best execution and time of trade proposals.

PNC Capital Markets has agreed to pay almost $200,000 to settle with the SEC over a failure to meet disclosure requirements in connection with 36 limited offerings.

Brandon Comer said the SEC's case alleging breach of fiduciary duty against him lacks evidence, but a federal judge refused to end the case.

The regulation would establish a universal standard requiring dealers in any transaction with a customer to use reasonable diligence to get the customer the best price.

The latest version of a controversial financial disclosure bill includes changes that benefit muni issuers after a major push by the public finance lobby.

The industry's biggest lobbying group also said it sees continued threats from regulation.

The Securities and Exchange Commission's 2020 amendments to rule 15c2-11 on the publication of quotes by broker dealers won't be enforced until 2025.