SEC

Former Macon-Bibb County Manager Dale Walker agreed to settle charges he gave an advantage to an investment adviser the SEC said he was pursuing romantically.

A bill to let money market mutual funds use a stable net asset value is back on the table with the support of muni issuers.

Bond lawyers asked for a safe harbor for issuers to provide unaudited information without needing to be fearful of anti-fraud laws.

Bond lawyers pushed for information from the SEC's top muni official Thursday.

Some issuers were concerned about precedents they would be setting and questions underwriters could have regarding compliance with the amended rule.

A large municipality with strong legal representation will draw attention, even from those skeptical of whistleblower suits alleging bank fraud in the variable-rate demand obligation market.

The defendant's claim that he's a victim of the Brogdon nursing home frauds shouldn't cloud the court's decision, the SEC said.

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.

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.