SEC

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.

A judge has approved a settlement between the SEC and lawyer Robert Crowe over pay-to-play charges.

The SEC told a federal judge that it may be nearing a settlement in a case over fraudulent bonds.

The Senate has approved President Trump's nominee, Jay Clayton, to become the next SEC chair.

Congress includes funds for many bond-related programs in $1.16T spending bill for fiscal 2017.

The MSRB has decided to reevaluate its minimum denomination rule filing with the SEC.

Legislators voted on Friday to give themselves one more week to agree on a federal spending bill for fiscal 2017.

The MSRB commended the SEC for its amendments on disclosure that have received backlash from others.

Dannenberg says regulators are losing sight of rules' goals, making them complex and burdensome.

NABL urges OMB to force SEC to be more realistic in estimating burdens for disclosure proposals.