Municipal advisors

Vern Breland is representing himself, and told a court he relied on his municipal advisor.

The SEC’s Public Finance Abuse Unit has brought four enforcement cases against municipal issuers this year, which signals a shift from the usual focus on underwriters and municipal advisors.

Estrada Hinojosa & Co., Stifel Nicolaus & Co. and CSG Advisors Incorporated moved into the top 10.

Erdman closes the books on a three-decade career with Wisconsin next week and heads to municipal advisory firm Baker Tilly.

The Securities and Exchange Commission has charged the City of Rochester, New York, its former finance director, former CFO and their municipal advisor with misleading investors in a $119 million bond offering.

Issuers need to be careful with bonds specifically marketed as green, said the head of Office of Municipal Securities.

Municipal advisors are seeking more and better communication from regulators and enforcers, NAMA Executive Director Susan Gaffney says. Kyle Glazier hosts. (24 minutes)

Kaufman Hall & Associates, Municipal Capital Markets Group and Montague DeRose & Associates moved up into the top 10.

Independent municipal advisory firm Sycamore Advisors LLC adds veteran banker and issuer Phil Wasserman as part of its expansion.

The Securities and Exchange Commission’s Division of Examinations intends to home in on municipal advisor obligations, transfer agents and municipal issuer disclosures.

Sanchez was instrumental in drafting the municipal advisory regulatory regime during his previous stint at the SEC.

The Municipal Securities Rulemaking Board has closed its second comment period on Rule G-46, collecting three responses.

The Chicago-based organization is more than a quarter century old and intent on growing.

SIFMA had argued that the SEC's temporary exemption order for municipal advisors was arbitrary and capricious.

The organization sought to increase representation of underrepresented minorities and women on its municipal market advisory groups.

The transition away from Libor presents challenges for small issuers with fewer resources to evaluate legacy contracts.

Groups believe that the draft compliance resources contain some useful information, though they could be construed as creating new compliance requirements.

The Municipal Securities Rulemaking Board has begun accepting applications for two regulated and two public board positions until Feb. 7.

Unregistered municipal advisor activity and breaches of fiduciary duty remain priorities.

The change of plea hearing is set for Thursday in a federal court in Mississippi.