SEC

“Brogdon's substantial and ongoing failure to comply with the plan and court orders are egregious and ongoing,” a court-appointed monitor reported.

In a letter sent to the SEC and the Municipal Securities Rulemaking Board late last week, the group said lapses in issuer financial disclosures are unacceptable.

Bond Dealers of America members said they have spent an average of more than $17 million on regulatory costs since the beginning of the 2008 credit crisis.

The MSRB said Rule G-29 doesn't make sense anymore since the rulebook can be accessed online.

The court shouldn't accept banker Peter Cannava's "narrow and cramped view of materiality,” the SEC urged.

Fallback language is expected to be released before year-end by the Alternative Reference Rates Committee convened by the Federal Reserve and ISDA.

The SEC’s Technology and Electronic Trading Subcommittee meets on pennying.

The SEC now has a stronger card to play when pursuing an enforcement case, lawyers said.

Former college official Keith Borge was charged Thursday with defrauding municipal securities investors and concealing the school’s crumbling finances.

A former municipal advisor accused of billing a city thousands of dollars for services it did not receive is now facing criminal fraud charges.