SEC

The new money ordered Wednesday comes from the SEC’s settlement with Brogdon Family LLC (BFLLC), a separate legal entity controlled by the former nursing home developer.

On Wednesday, the SEC approved the final rule 3-1, with Commissioner Robert Jackson voting against the rule.

Abonamah will oversee the municipal securities office's strategic initiatives in his new role.

Some stakeholders say the CUSIP requirement for MAs is needed, while other say it is burdensome.

The financier's lawyers disputed a court-appointed monitor who had criticized him for maintaining an expensive lifestyle while his investors faced losses.

J.W. Korth & Co. was found to have charged excessive markups in 38 sales of municipal securities.

The Securities and Exchange Commission is on the lookout for municipal advisors skirting the Series 50 Exam.

Though some dealers endured a technological headache, the year-old rules have improved transparency without disrupting trading, the MSRB said.

At the National Federation of Municipal Analysts’ annual meeting in Charleston, South Carolina, members asked the board to find ways to open up communications between investors and issuers.

At the National Federation of Municipal Analysts annual conference, panelists discussed the “elephant in the room” — myths about issuer disclosure.