Municipal advisors

Municipal securities could be exempt from the proposal and the Commission invites commenters to lay out why that should be the case.

Brandon Comer said the SEC's case alleging breach of fiduciary duty against him lacks evidence, but a federal judge refused to end the case.

The change would give broker dealers, municipal securities dealers and municipal advisors until Jan. 31 to annually affirm the information on Form A-12, among other changes.

The Municipal Securities Rulemaking Board has announced its fifteen-member Compliance Advisory Group for the 2023 fiscal year, which includes eleven women and four men.

While the MSRB's compliance resources are not a rule and it has not been filed with the SEC, one can infer that following the same will be beneficial should the SEC inquire.  

Nathaniel Singer, who has nearly four decades of experience in municipal derivatives and advisory space, has joined PFM.

The City of Rochester, New York, and its former finance director appear set in fighting SEC charges that they defrauded investors in connection with a 2019 bond offering.

The status allows the firm to assign the label to bonds based on a review of a project's adherence to the Climate Bonds Standard and Certification Scheme.

The Municipal Securities Rulemaking Board's intends to spend $45.5 million over the course of FY2023.

Brett, whose term ends this week, oversaw the MSRB's push for a greater integration of technology as well as overseeing some controversial rule proposals.

Frasca achieved national prominence as an expert in advising governments on capital development at airports and was one of the earliest proponents of public-private partnerships.

The Municipal Securities Rulemaking Board voted to amend its Rule G-40 on advertising by muni advisors and Rule A-12 on registration during its final board meeting of the year.

Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.

Capital Market Advisors responded to the Securities and Exchange Commission's claims that the charges are inconsistent or in excess of those imposed by the applicable laws.

Baker Tilly will fold specialty consulting firm Management Partners into its public sector practice next month.

The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board's proposed changes to Rule G-34 on CUSIP applications, removing the requirement for municipal advisors to file new issue applications in one business day, among other changes.

Brandon Comer and Comer Capital Group have responded to the SEC's argument against summary judgment, claiming the Commission has not provided sufficient evidence.

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.