SEC

A pilot program for the new Series 54 exam should be available early next year, the MSRB announced.

Where the SEC's Rick Fleming sees potential benefits, broker-dealers see burdensome, duplicative work.

The Municipal Securities Rulemaking Board on Monday released final and draft guidance on issues related to its G-40 advertising rules for municipal advisors.

The disclosure of some variable-rate demand obligation information on EMMA shouldn't be used to dismiss a lawsuit alleging fraud in VRDO remarketing,lawyers for the plaintiff told an Illinois court.

Municipal advisors have a duty of care to their clients that is much more comprehensive, and more demanding.

The fallout from a 2017 federal fraud case is continuing to impact bond investors with the latest development involving the loss of tax-exempt status for bonds that were issued for two assisted living facilities in Georgia.

Dealer firms are trying to comply with newer rules like markup disclosure, while regulators are finding some problems and working to communicate more clearly.

Roisman is officially back at the SEC, but this time as a commissioner.

Widespread use of the bid-wanted process as a price discovery tool could hurt market integrity, the MSRB believes.

The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.

The Securities and Exchange Commission has sent letters to the 12 top banks and broker-dealers that remarket variable rate demand obligations, seeking information and documents on their remarketing and rate resetting practices.

The MSRB is concerned about the fairness of so-called "pre-arranged trading," but some say it's a bit of a grey area.

The Senate voted 85 to 14 on Wednesday, mostly along party lines, to confirm Republican Elad Roisman to become a member of the Securities and Exchange Commission for a term expiring June 5, 2023.

The SEC is sorting out those charged with engaging in a large multi-year "flipping" and kickback scheme.

SEC Chairman Jay Clayton cited Rebecca Olsen's "deep knowledge of the U.S. municipal bond market" and focus on "integrity and transparency" in naming her director.

Republican Elad Roisman appears to be moving toward confirmation to the SEC without being paired with a Democrat.

The MSRB is making a push to understand muni market indicators.

James J. O'Neil received a 12-month suspension from the market for his role in the flipping and kickback scheme.

President Trump's nominee Elad Roisman is a step closer to becoming an SEC commissioner.

The now-defunct unregistered broker-dealer Core Performance Management, LLC, and four of its former employees settled fraud and MSRB rule violations with the SEC for engaging in municipal bond flipping and kickback scheme.