SEC

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.

Two researchers found the Securities and Exchange Commission and Municipal Securities Rulemaking Board had different data on municipal advisor registrants with a number of MAs failing to update SEC filings.

Maine Gov. Paul LePage angered many muni market participants last month with a last-second cancellation of already-priced bonds, but is that the end of the story?

While munis have received scant attention at previous meetings, a discussion of pre-trade transparency is on tap for next week's Fixed Income Market Structure Advisory Committee meeting.

The Financial Industry Regulatory Authority has already barred Jose Ramirez from the securities industry, his lawyer said.

The SEC issued separate administrative orders Monday stripping Malachi Financial Products of its muni advisory registration and barring Porter Bingham from the industry.

Six straight treasurers want SEC chairman Jay Clayton to stay the course on the commission's forced arbitration policy.

Malachi Financial Products Inc. and its principal were charged with violating their fiduciary duty to a city in Mississippi, overcharging the city, and failing to disclose payments received from the underwriter.

The new guidance is just the first of a planned three-part release, which will later cover social media use and the rule's content standards.

Issuer groups urged a Senate Panel to undo a 2014 SEC rule change that required money market funds to use a floating net asset value.