SEC

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.

About a quarter of registered municipal advisory firms have no advisors qualified through the Series 50 exam.

Dwayne Edwards and 11 companies have agreed to a judgment in a case with ties to Christopher Brogdon.

The SEC under chair Jay Clayton will operate with two co-directors of enforcement, Stephanie Avakian and Steven Peikin, and at least one of them has experience with the municipal bond market.

The Financial CHOICE Act, which the House passed Thursday, would have some direct effects on munis.

Former broker Deborah Kelley will pay $188,000 as part of her sentence after pleading guilty to taking part in a pay-to-play scheme involving New York pension fund business.

Christopher St. Lawrence is arguing that errors during his case should allow him an acquittal or new trial.

If passed, the Financial CHOICE Act of 2017 would have a widespread ripple effect, as there are muni bond provisions which would hurt enforcement organizations such as the MSRB and SEC.

Groups and companies representing bankers and investors are asking the SEC to further tailor its event disclosure proposal.

Lawyers on a panel said issuers should focus on good policies and procedures as well as SEC enforcement trends.

Class action participants are arguing BOKF had conflicts of interest and failed to carry out duties.

Jay Clayton became the 32nd chair of the SEC after being sworn into the rule on Thursday.