Public finance made up just 3% of total standalone enforcement cases.

Harvey has failed to fully implement an independent consultant's recommendations in violation of a 2014 settlement that resolved securities charges, the SEC says.

The SEC's Rebecca Olsen said in 2021, the regulator plans to explore ways to get more comment on financial disclosure recommendations.

In the first episode of the five-part Arizent documentary series, we look at how disparities in net worth and mortgage discrimination impact Black home ownership — and why it's impossible to close the gaps without attacking systemic racism.

In the first episode of the five-part documentary series, we look at how disparities in net worth and mortgage discrimination impact Black home ownership — and why it's impossible to close the gaps without attacking systemic racism.

The board, at the first quarterly board meeting of its 2021 fiscal year, also voted to split its existing Nominating and Governance Committee into two.

The Municipal Securities Rulemaking Board's new CEO plans to improve the quality of data on its site.

The majority of the spending was $21.36 million devoted to lobbying members of Congress and federal agencies over the 12 months that ended June 30.

A painful reality of the current environment is that headcount is a target for cost reduction despite that demands have never been greater — compliance, client demands and the need to access and leverage data and information to avoid a competitive disadvantage.

The board will discuss a long-term strategic plan for the MSRB and the regulatory framework of electronic trading platforms.

Current SEC Chair Jay Clayton will likely not be reappointed as both President Trump and Joe Biden are likely to pick chairs more aligned with their political parties.

Missing minimum denomination and interest rate information for VRDOs affected about 57 CUSIPs, FINRA found.

The American Securities Association's new member program will increase its membership to 71 members from 21.

During a Fixed Income Market Structure Advisory Committee meeting Monday, members said they anticipate volatility as issuers await word on future stimulus, vaccines for COVID-19 and try to figure out what to disclose to investors.

The Fixed Income Market Structure Advisory Committee will discuss the impacts of the pandemic on the muni market amid growing uncertainty.

Market participants say the year long process to find a new leader for the Municipal Securities Rulemaing Board resulted in a good pick.

If changes are made to regulating alternative trading systems, it would be the biggest change to the regulation of fixed income trading platforms since 1998.

Securities lawyers and the trade group for municipal advisors agree unregistered muni advisors shouldn't still be ignorant of the law.

Irene Carroll and her company, Funding the Gap LLC, settled with the SEC Friday for not registering as municipal advisors. The SEC said Caroll knew she provided similar services as an MA.

The Municipal Securities Rulemaking Board's David Hodapp said an MA's fiduciary duty to an issuer trumps fair dealing obligations to investors.