SEC

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.

The Securities and Exchange Commission will issue a new series of educational materials.

The breach occurred in 2016, but was not publicly addressed by the SEC until Sept. 20.

New National Association of Bond Lawyers president Sandy MacLennan wants to publish more research.

Rebecca Olsen will replace Jessica Kane as SEC muni securities office director on an acting basis.

The SEC's Catherine McGuire, credited with writing key muni rules, retires

A compliance outreach program for municipal advisors is to be held on Nov. 8 by three regulators.

Former SEC lawyer Peter Chan has some ideas where SEC enforcement actions may be headed.

If Trump nominates Robert Jackson and the Senate confirms Peirce and him, the SEC would be full.

While many would prefer the SEC's MCDC Initiative be a distant memory, late last month the SEC's Chief of the Enforcement Division's Public Finance Abuse Unit reminded issuers and underwriters alike that they will continue to be held accountable when they fail to provide investors with an accurate picture of past compliance with continuing disclosure obligations.