Any voluntary disclosure that is reasonably expected to reach investors is subject to the antifraud provisions of the federal securities laws.

Former SEC lawyer Peter Chan has some ideas where SEC enforcement actions may be headed.

If Trump nominates Robert Jackson and the Senate confirms Peirce and him, the SEC would be full.

Federal Reserve Bank of New York President William Dudley was investigated and cleared by an outside law firm for failing to disclose his half-sister’s position as an executive at Wells Fargo & Co., according to an annual disclosure filing.

The Municipal Securities Rulemaking Board seeks approval to change its rule governing CUSIPs.

The SEC action this month against an Oklahoma MA offers helpful guidance for municipal advisors regarding the fiduciary duty of care.

IRS said its new deadlines for claims were “in the interest of sound tax administration.’’

The legacy of the MCDC initiative lives on, lawyers said.

New Jersey Gov. Chris Christie signed a bill late giving the state an alternative route to shedding Atlantic City public safety staff.

The SEC's case against an MA firm and its officials seems to have hinged on why they were hired.

GFOA says the political subdivision rule would “add extensive and additional federal requirements.''

The firm and its officials changed a city's existing disclosure agreement without telling investors.

MSRB wants to fine-tune data it gets on municipal fund securities to be able to better compare it.

The parties would have been more leniently treated if they reported failures under MCDC.

The advertising rule changes reflect regulatory developments and will inform investors..

Lokken will work in Atlanta as Parker Poe continues to expand in the Southeast.

NFS failed to follow underwriter instructions; Corecap failed to report transactions.

SEC rules provide municipal advisors an opportunity strengthen their bonds with issuer clients.

Market participants are unsure what the Municipal Securities Rulemaking Board is after.

After Sept. 12, municipal advisor representatives who have not passed the Series 50 Exam may not engage in MA activities.