SEC

An SEC muni office official discussed 15c2-12 and more on Tuesday.

Rules governing financial advisory relationships and CUSIP numbers are under scrutiny.

Issuers say a variety of factors make it difficult to get audits in any faster.

Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.

Days after the government reopened temporarily, the Municipal Securities Rulemaking Board extended the effective date for new advertising requirements.

With Rule 15c2-12 amendments taking effect at the end of February, issuers expressed confusion about their impact on continuing disclosure responsibilities.

The MSRB plans to file for a new effective date for new advertising requirements as soon as the government reopens.

The Municipal Securities Rulemaking Board will begin preliminary conversations about SEC Chair Jay Clayton's disclosure comments.

The program was expected to be heavily-attended and would address advertising rules and test prep for the Series 54 Exam.

FINRA found the firm should have disclosed late payments and other material information to investors in COPs linked to Brogdon projects.