SEC

The Securities and Exchange Commission has obtained a final judgment against John Paulsen, a broker-dealer charged with aiding and abetting a pay-to-play scheme with the New York State Common Retirement Fund.

The Commission’s enforcement results highlight the importance of proper disclosure.

The case may turn on whether the SEC’s temporary order is capable of repetition and evading review.

“That's a big loss to me personally and to the commission,” SEC Commissioner Hester Peirce said Wednesday.

The application period for this significant role is slated to close Friday.

The position has been held by Rebecca Olsen since 2018.

A recent panel discussion shed some light on how issuers and borrowers should be disclosing climate related information.

Officials from multiple regulators came together on Thursday for a detailed discussion about municipal advisory regulation.

Erring on the side of caution and good documentation are key to managing conflicts of interest

Muni advisors can dialogue with regulators on key obligations from multiple perspectives

SEC Chairman Gary Gensler signaled he wants to bring greater efficiency and transparency to municipal bond market

The proposed changes would reduce the volume of disclosures dealers have to make to customers each year.

The MSRB has announced an extension for municipal bond advisors seeking Series 54 certification, moving the compliance date from to Nov. 30, 2021, from Nov.12.

Porter Bingham stands accused of stealing $33,000 from the city of Rolling Fork, Mississippi.

At stake, from SIFMA's perspective, is the potential of the SEC to revive the exemption in the future.

The board decided last month it would seek commission approval to tweak rules related to mandatory disclosures.

Research suggests limited effectiveness of the SEC's rules requiring disclosure of private debt.

The dealer group's concern is on the treatment of institutional SMMPs under the suitability standard.

SEC Chair Gary Gensler's pick for enforcement director resigned just days after being announced.

The new director will be familiar with pay-to-play enforcement and public accounting fraud, which are important in the muni space.