SEC

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trading has the potential to do harm to the muni market and land broker-dealer firms in trouble, according to new MSRB draft guidance.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

Sen. John Kennedy blasted the Municipal Securities Rulemaking Board during a Senate Banking, Housing and Urban Affairs Committee meeting.

Richard Li, a public debt specialist for the city of Milwaukee, said too much cybersecurity disclosure can become a road map for hackers.

Richard Gounaud, accused by the SEC of participation in a muni bond "flipping" scheme, claimed the use of the slang term created unfair bias.

Members of the Securities and Exchange Commission on Thursday addressed confusion among issuers, broker-dealers and investors regarding disclosure.

Todd Barker was one half of a duo the SEC said engaged in a $62 million fraudulent senior housing bond scheme.

Now that the SEC has approved the MSRB's proposal to require MA principals to pass a new exam, a content outline and pilot program are on the horizon.

Underwriters and issuers alike have complained about the nature of disclosures under current guidance to the MSRB's rule G-17.

A federal court imposed an unusually stiff financial penalty and a lifetime ban against the already-jailed Christopher St. Lawrence.

Distinguishing abusive `pennying' from less insidious behavior is key, dealers told the MSRB.