SEC

The Municipal Securities Rulemaking Board seeks approval to change its rule governing CUSIPs.

The firm and its officials changed a city's existing disclosure agreement without telling investors.

The parties would have been more leniently treated if they reported failures under MCDC.

The advertising rule changes reflect regulatory developments and will inform investors..

The SEC's query followed the start of an audit that led the IRS to find the bonds were taxable.

Market participants are unsure what the Municipal Securities Rulemaking Board is after.

The Securities and Exchange Commission has concluded its investigation of the West Contra Costa Unified School District's bond program without any sanctions, the agency announced.

The Securities and Exchange Commission is investigating whether a municipal advisor for Babylon, N.Y. bond financings had a conflict of interest and violated his fiduciary duty by also owning a company that provided the town with workers.

Muni market participants will have more time to prepare for customer account transfer changes.

The Municipalities Continuing Disclosure Cooperation Initiative may have muddied some waters.

Peirce's previous nomination to the SEC by Obama did not make it through the full Senate.

The plaintiffs had alleged G-37 amendments would restrict the political contributions of municipal advisors.

Former Ramapo, N.Y. town supervisor Christopher St. Lawrence is arguing he should either be acquitted or retried because of errors by the judge made before and during the trial as well as prejudice from jurors who found him guilty of 20 counts of conspiracy and fraud in connection with municipal bonds issued by the town and an authority.

SEC chair Jay Clayton wants to ensure the fixed income market is efficient and transparent.

The SEC's Investor Advocate said muni market reform will be one of five areas for "significant time and attention."

The SEC could charge workers from Morgan Stanley & Co. and Barclays Capital, who worked on the deals.

The SEC's chair said the commission's fiscal 2018 budget request would help enforcement and examinations.

BOKF is trying to persuade a judge to dismiss a muni complaint the bank says lacks a legal basis.

Enforcement actions are generally terminated when firms have remedied underlying problems.

The MSRB gave participants guidance on complaint processes by releasing codes for recordkeeping.