SEC

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.

Since a temporary exemption allowing muni advisors to facilitate certain private placement deals expired, a federal court cannot strike it down, the SEC argued.

The SEC's Office of Municipal Securities is moving ahead on the Libor transition and issued a detailed advisory Friday to the municipal securities market.

His experience as an active regulator as head of the Commodities Futures Trading Commission may transfer to his new post.

Sources say pricing of bonds will be a prevalent issue in 2021 following comments made by bipartisan SEC commissioners.

Republican Commissioner Elad Roisman was named SEC acting chair and is unlikely to push any major initiatives in his short time, but he does have a focus on fixed income markets.

Washington Bureau Chief Kyle Glazier discusses what is in store for munis in 2021, how the SEC and MSRB will function under a Biden administration and what Janet Yellen in the Treasury seat might mean. (12 minutes)

The firm violated municipal advertising and fair dealing rules, the SEC found.

SEC Chair Clayton told Rep. French Hill, R-Ark., late last week that he expects the program to sunset at year's end as scheduled.

Multiple news articles, which the SEC did not include, contradict the commission's major reasoning for why a temporary exemption for municipal advisors was needed, SIFMA said.