J.W. Korth is appealing a FINRA panel finding that it charged customers excessive markups.

The House Financial Services Committee will hold a hearing on the revised CHOICE Act next week.

The MSRB will examine a host of critical comments on its proposals during its next board meeting.

Fifteen state and local groups are asking Congress to advance bills to treat munis as HQLA.

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

Bond Dealers of America chair Tom Dannenberg discusses how some recent muni market rules seem to be losing sight of their goals and creating unneeded complexity, burdens, costs and liabilities for dealers and other market participants. Hosted by Jack Casey.

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

Bank of Oklahoma Financial wants a federal judge to throw out a class action that alleges the bank failed in its trustee role.

FINRA expanded its sanctions guidelines and suggested several penalties be more severe.

Bills now pending in the Senate and House would ease bank regulators' treatment of municipal securities

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

Dwayne Edwards and the entities he controlled are arguing the SEC’s arguments against them for fraud are based on inaccurate information.

The SEC has announced a settlement with an Arizona-based brokerage firm, its chief executive officer, and its former underwriter's counsel and head of investment banking over charges related to fraudulent municipal bond offerings related to Atlanta businessman Christopher Brogdon.

In this new edition of Muni Minute, we turn our focus to The Hill in Washington, D.C., as there will be lots of activity that should be of interest to the municipal market.

A new piece of bipartisan legislation introduced in the Senate today is aimed at allowing the SEC to increase fines for individuals and entities to better discourage future securities law violations

The Rhode Island Commerce Corp. and the Securities and Exchange Commission filed a joint motion in Rhode Island federal court on Wednesday asking the presiding judge to approve a final settlement over the RICC's involvement in a fraudulent private placement.

Investors with holdings in municipal conduit bonds that have been the subject of recent SEC enforcement actions over fraudulent commingling of assets are suing Bank of Oklahoma Financial, which served as the trustee for many of the faulty offerings.

Jay Clayton, the nominee to take over as SEC chair, told senators on Thursday that a focus on enforcement against individuals will be an important part of the SEC’s efforts to curb bad actors in the capital markets.

Amie Riggle Berlin, the SEC’s lawyer who handled its case against Miami and Michael Boudreaux, explained the important aspects of a reliance on professionals defense and the need for issuers to stay truthful in their offering documents during a conference panel.

The Justice Department said it does not intend to criminally charge New York Mayor Bill de Blasio or people fundraising on his behalf.