SEC

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.

The Securities and Exchange Commission previously charged one of the seven, an unregistered investment adviser, with similar allegations.

The Securities and Exchange Commission has increased its focus on climate change disclosure in the corporate market.

A consildated effort is needed for better transparency of pricing in the municipal market, especially for retail investors.

Dealer groups say changes to FINRA rules should be cohesive with municipal rules.

The SEC opened a request for comment on money market fund rules, which could provide an opening for localities seeking a return to a stable net asset value.

Dealers say increased focus on systemic pennying has decreased its activity, while others aren't so sure.

The dealer group is concerned the SEC may provide another exemption for municipal advisors to work on private placement deals.