SEC

Regulators will focus on helping dealers and municipal advisors comply with recently adopted rules and will also monitor how tax reform legislation impacts muni market practices.

The SEC's muni enforcement focus in 2018 will include offering and disclosure-related fraud, broker-dealer abuses, municipal advisor misconduct, public corruption, and pay-to-play practices.

The SEC has approved a change to increase the level of information the MSRB collects about certain muni fund securities.

The SEC is investigating after the school district's bond management practices were questioned in an audit.

Navnoor Kang, the former director of fixed income for the New York State Common Retirement Fund, has pleaded guilty to criminal fraud charges.

The former mayor of Markham, Ill., solicited and received a $75,000 bribe from a contractor in return for giving him work on a bond-financed project.

A federal judge has barred Ramapo, N.Y., from issuing new bonds for three years unless it hires an independent disclosure counsel.

The SEC went into its expanding toolbox to bring fraud charges against Oyster Bay, N.Y., and its former top elected official for hiding the existence and potential impact of side deals with a businessman.

SEC takes stock of fiscal 2017 in enforcement and finds 4% of its cases were public finance-related.

The SEC's Office of Compliance Inspections and Examinations found municipal advisors had trouble meeting registration, books and records and supervisory requirements.

Dealers are pleased that the MSRB has expanded the exemption to its CUSIP proposal.

Muni market participants may not be ready in time to implement a pending markup disclosure rule on which regulators place huge importance.

A SIFMA official testified about muni regulatory concerns of dealers.

Market participants think the SEC will narrow its proposal to add event notices under Rule 15c2-12.

SEC nominees Hester Peirce and Robert Jackson fielded questions from Senators on Tuesday.

MSRB worries about "pennying," "filtering," bank loans, pricing

Wenatchee, Wash. is back to investment grade after a rough couple of years.

Market groups and individuals asked the SEC to reject parts of an MSRB rule intended to improve transparency of dealers' private placements.

Muni advisors can expect more exams and need to work on compliance, SEC officials said.

SEC muni enforcement lawyers have become sophisticated and have a wealth of data to mine.