SEC

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.

Three lawsuits claiming fraud in the variable-rate demand obligation market are headed toward key court rulings in coming weeks.

MSRB board members and staff are slated to participate in eight events between next month and May.

The MSRB is hoping to help the market comply with the soon-to be-effective disclosure rule amendments.

The government shutdown limits the SEC's ability to answer issuers' questions on continuing disclosure requirements that take effect Feb. 27.

Federal subsidy payments made to issuers of Build America Bonds are continuing even as Congress remains deadlocked over funding for government agencies.

Municipal enforcement cases including SEC vs. Dwayne Edwards are among those that have been halted.

So-called prearranged trading has the potential to do harm to the muni market and land broker-dealer firms in trouble, according to new MSRB draft guidance.

A Jan. 22 hearing has been set at which time a judge may order Dwayne Edwards to disgorge $766,850 plus interest and pay civil penalties.

The SEC has signaled a focus on pay-to-play and disclosure fraud.

Muni regulators are expected to slow the pace of new rulemaking and focus on enforcement in 2019, with an emphasis on continuing disclosure.

The SEC announced the settlement with former UBS broker Chris Rosenthal, the biggest yet from its ongoing flipping investigation.

A new year will mean new advertising rules and testing requirements for municipal advisors.

Analyst Marc Joffe says bulk downloading should be free on EMMA.

The MSRB got a green light for tighter reporting rules for dealers as the regulator starts to monitor the municipal fund securities market.