SEC

Todd Barker appears prepared to have negotiated a monetary settlement with the SEC, while Dwayne Edwards plans to contest the SEC's motion in court.

Public finance cases represented 3% of the SEC's enforcement actions the past fiscal year.

Next month's event may also give attendees a rare chance to hear about muni issues directly from every commissioner.

FINRA found, and the SEC upheld, muni and other rule that violations Thaddeus North failed to prevent as chief compliance officer.

The defense team accused the SEC of a "gross abuse of power."

The first meeting for several new board members included discussions with other regulators and groups, the MSRB said Monday.

The municipal securities market is slowly looking more like the stock market.

The pre-trade information available on alternative trading systems to broker-dealer participants would likely benefit all municipal securities investors if made more publicly available, the Municipal Securities Rulemaking Board’s chief economist said in releasing a report Thursday that is to be presented to a market structure advisory group next week.

The impact of the 2008 crisis led Congress and the MSRB to reshape many of the ways business is done in the municipal bond market. Part 1 of The Bond Buyer's series on the decade after the financial crisis.

Regulators already have a template around which to build an exemption from Volcker for tender option bonds, wrote SIFMA's Michael Decker.

The committee tasked with providing insight on the muni and corporate bond markets is meeting again in two weeks.

The whistleblower responsible for federal investigations and lawsuits accusing banks and broker-dealers of fraud and collusion in the remarketing of variable rate demand obligations will likely be forced to go public because of a recent ruling by Massachusetts’ highest court.

The MSRB, SEC, and FINRA will host an outreach event early next year as muni advisors prepare for a new principal exam among other requirements.

Key SEC officials responsible for muni rulemaking and enforcement said they don't feel disclosure has been adversely impacted due to fears stoked by the Municipalities Continuing Disclosure Initiative.

The Bond Dealers of America has formed a Fixed Income Market Structure Working Group to advise regulators, lawmakers and market participants on structural changes in the fixed income industry and marketplace.

SEC and MSRB officials responded to the concerns and frustrations of bond lawyers who were meeting in Chicago.

SIFMA is publishing a new model document that it says should help underwriters avoid regulatory risk.

Incoming NABL president Dee Wisor wants the group to be more active in Washington.

The MSRB is hoping that new guidelines will encourage more conversation between its staff and the broker-dealers and muni advisors it regulates.

A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.