SEC

Ken Lind, leader of Nixon Peabody's project finance and public finance group, breaks it down by sectors and financing instruments. He also examines virus-related SEC disclosure guidance plus the planned phaseout of Libor. Paul Burton hosts. (38 minutes). Recorded Dec. 2.

The SEC said the court should oppose SIFMA's motion to include news articles in the proceedings, saying the group relied on only one rationale.

The number of issuers using a temporary exemption jumped to 101 in October from 35 the previous month.

As co-director of the Enforcement Division, Stephanie Avakian oversaw charges the SEC made against municipal bond “flipping” schemes.

SIFMA told a federal court that the SEC's process failed when it announced the temporary conditional exemption for muni advisors.

During his leadership, Clayton oversaw amendments to Rule 15c-12 and pushed for more transparency in the municipal market.

Public finance made up just 3% of total standalone enforcement cases.

The SEC's Rebecca Olsen said in 2021, the regulator plans to explore ways to get more comment on financial disclosure recommendations.

Many issuers in California specifically do not mention climate change in their official statements.

The board will discuss a long-term strategic plan for the MSRB and the regulatory framework of electronic trading platforms.

Current SEC Chair Jay Clayton will likely not be reappointed as both President Trump and Joe Biden are likely to pick chairs more aligned with their political parties.

The maximum allowable issuance under the SEC's temporary exemption is $20 million.

Analysts say closer to 100% of issuers should be disclosing COVID-19 impacts, when in actuality, that number is much lower.

During a Fixed Income Market Structure Advisory Committee meeting Monday, members said they anticipate volatility as issuers await word on future stimulus, vaccines for COVID-19 and try to figure out what to disclose to investors.

The Fixed Income Market Structure Advisory Committee will discuss the impacts of the pandemic on the muni market amid growing uncertainty.

If changes are made to regulating alternative trading systems, it would be the biggest change to the regulation of fixed income trading platforms since 1998.

From June to July, not many municipal advisors relied on the SEC's temporary exemption and some sources say they don't expect it to be heavily used.

Eliseo Sampayo was fined $20,000, half of which will go to the Municipal Securities Rulemaking Board for violating its rules.

An independent municipal advisor said recent efforts made by broker-dealer advocacy groups are part of a "membership battle."

SIFMA said Friday it had filed suit in Federal court in Washington D.C. asking the court to vacate the SEC’s Temporary Conditional Exemption.