SEC

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.

As the dust settles on the SEC's 15c2-12 announcement, questions loom about how difficult it will be to implement.

The final rules will focus on debt obligations on a similar level as bonds, an effort to respond to comments that the first proposal was too broad.

The CFTC is set to decide how much swap activity necessitates inclusion in the swap dealer regulatory regime.

They are accused of improperly diverting newly issued municipal bonds to certain broker-dealers for a fee at the expense of retail investors.

Investors won't get nearly all their money back as the Securities and Exchange Commission's case against Dwayne Edwards and Todd Barker draws towards a close and SEC lawyers want the losses taken into account in settlements.

While she didn't work on muni issues specifically, Allison Lee is a seasoned buster of financial wrongdoers.

While the ruling wasn't a total victory for Wells Fargo or banker Peter Cannava, the court's decision grants them three more months of preparation in their fight against the SEC.

The report card touts the MSRB's accomplishments, though that doesn't sit well with some market participants.

Federal securities regulators have dismissed the most serious claim against the city’s airport authority and removed a top official from litigation altogether as part of a settlement reached in the long-running legal battle over a controversial tax increment bond offering in 2008.

Sen. John Kennedy, R-La., suggested he and Sen. Elizabeth Warren, D-Mass., may introduce a bill that would require MSRB to elect public members who represent consumers and are not just retired industry executives.

An SEC advisory committee heard critics say the muni market is lacking in pre-trade price transparency and that hurts retail investors. But industry officials said MSRB rules have vastly improved muni market transparency.