Securities and Exchange Commission enforcement officials are expected to focus on disclosure and pricing abuses as well as increase their oversight of municipal advisors during the coming year, according to regulators and market participants.

Multiple early initiatives will crowd Donald Trump's administration, Citi VP and former White House advisor Candi Wolff told Massachusetts investors.

Ross Sinclaire & Associates has agreed to pay $250,000 and to disgorge ill-gotten gains to settle muni rules violations with the Financial Industry Regulatory Authority after it improperly acted as a financial advisor and underwriter on the same muni issuances. The Cincinnati-based firm also failed to disclose material facts in offering documents and was late in filing underwriting disclosures with regulators, FINRA said.

SEC sues, U.S. Attorney indicts former official of New York State Common Retirement Fund and two brokers over pay-to-play scheme.

An Illinois school district under federal scrutiny for its past misuse of bond proceeds saw its rating fall to junk as Moody’s Investors Service lowered the Lincoln-Way Community High School District 210 one notch to Ba1.

Scottsdale settles dispute with IRS with payment of almost $751,000 and its authority settles claims with bond counsel for $75,000.

Revere Securities was fined $10,000 for trade reporting failures while two individuals were fined a total of $22,500 and suspended for improper trading of municipal securities and supervisory failures by the Financial Industry Regulatory Authority.

Brad Bennett, who oversaw many important municipal bond enforcement cases over nearly six years, plans to leave the Financial Industry Regulatory Authority as its enforcement chief early next year and return to private practice.

The IRS's Final Regulations represent a departure from current rules that will affect long-held practices for issuers, underwriters and financial advisors.

The Securities and Exchange Commission will not bring any more settlements under its Municipalities Continuing Disclosure Cooperation initiative and will instead focus on those underwriters and issuers that did not voluntarily disclose violations under the MCDC.

Former Miami budget director Michael Boudreaux plans to ask a federal district court by Jan. 3 to vacate a jury’s verdict that he was guilty of securities fraud, according to his lawyer.

The Securities and Exchange Commission’s top cop Andrew Ceresney plans to leave the SEC by the end of the year after helping to bring several ground-breaking municipal bonds and other enforcement cases.

State and federal judges in Wisconsin approved final settlement agreements with Stifel and Royal Bank of Canada to conclude an eight-year effort by five school districts to recoup $200 million lost on a risky investment product.

Former Miami budget director Michael Boudreaux will face a much lighter penalty for securities fraud than the Securities and Exchange Commission sought, after a federal court judge found that the commission overreached in its requests to have Boudreaux enjoined and fined $450,000.

The Financial Industry Regulatory Authority has ordered UBS to pay two Puerto Rican residents $18.4 million in damages, interest, and other fees over the residents’ investments in closed-end mutual funds concentrated in Puerto Rico bonds.

The SEC, in a court filing on Tuesday, said former Miami budget director Michael Boudreaux's arguments against penalties the SEC wants to impose on him for securities fraud show a lack of responsibility and respect for the jury verdict that found him guilty.

The Financial Industry Regulatory Authority found that Merrill Lynch failed to properly supervise customers’ investments in Puerto Rico bonds and closed-end funds.

The National Association of Bond Lawyers wants the Treasury Department and Internal Revenue Service to revise the management contract guidance released in August, which it says is confusing and could limit the usefulness of safe harbors in short-term contacts.

Citigroup Global Markets Inc. scrapped the closing on $377.6 million in revenue and general obligation bonds it priced for El Camino Hospital in northern California after the U.S. Justice Department subpoenaed documents from the hospital.

Connecticut and Illinois state treasurers, in partnership with shareholder activists, called for a change in Wells Fargo’s corporate bylaws to ensure an independent non-executive board chair.