SEC enforcement

The groups believe the MSRB cast too wide a net to non-syndicate dealers in its January draft guidance.

The settlement approved by the Oyster Bay Town Board requires it to hire a municipal finance consultant.

The defendant's claim that he's a victim of the Brogdon nursing home frauds shouldn't cloud the court's decision, the SEC said.

Scott Andreson plans to work with the SEC to improve disclosure.

The program was expected to be heavily-attended and would address advertising rules and test prep for the Series 54 Exam.

FINRA found the firm should have disclosed late payments and other material information to investors in COPs linked to Brogdon projects.

Municipal enforcement cases including SEC vs. Dwayne Edwards are among those that have been halted.

So-called prearranged trading has the potential to do harm to the muni market and land broker-dealer firms in trouble, according to new MSRB draft guidance.

A Jan. 22 hearing has been set at which time a judge may order Dwayne Edwards to disgorge $766,850 plus interest and pay civil penalties.

The SEC has signaled a focus on pay-to-play and disclosure fraud.