SEC

Brandon Comer and his firm Comer Capital Group have to pay the sum as part of a final judgment reached in federal court in Illinois.

The proposed amendments, which help to establish a residential supervisory location to help dealers better adapt to a post-COVID world, were approved at the MSRB's quarterly board meeting.

The SEC has settled charges against Aon Investments and in a separate action, a former executive of the firm for misleading the Pennsylvania Public Employees' Retirement System.

A letter co-sgned by Bond Dealers of America and the Securities Industry and Financial Markets Association urges the Municipal Securities Rulemaking Board to institute its 2024 rate card, for fear that reverting back to 2023 levels would be disruptive for dealers.

Capital Markets Advisors and its co-principals Richard Ganci and Richard Tortora are caught up in a legal back and forth with the SEC over how MSRB Rule G-42 on conflicts of interest applies to their case.

SEC Muni Office Chief Dave Sanchez gave issuer officials some updates on implementation of the transparency law.

The filing cuts the current 15 minutes standard reporting window down to one minute in what the MSRB describes as an effort to improve transparency.

The list of regulations coming into effect next year, as well the expected Supreme Court decision on how the SEC uses its enforcement powers is paving the way for a landmark year.

Bond Buyer Executive Editor Kyle Glazier discusses the coming year in D.C. with Bond Dealers of America's Brett Bolton. (15 minutes)

Without admitting or denying the findings, Alan Appelbaum agreed to be barred from participating in any securities offerings, but is able to apply for reentry after ten years.