SEC enforcement

The SEC told a federal court that it will not pursue a judgment against the muni advisor firm or its principal unless it appears that the settlement process has stalled.

The Conservative Enterprise Institute sent a letter to the Securities and Exchange Commission.

The pioneer in electronic muni data celebrated its 25th year with a new product that addresses the market's need for best execution.

City officials said consolidating the boards will improve governance and result in stronger fund performance.

The end of the probe was disclosed in offering documents for a $67 million refunding deal.

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

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

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

The Securities and Exchange Commission has concluded its investigation of the West Contra Costa Unified School District's bond program without any sanctions, the agency announced.

The Securities and Exchange Commission is investigating whether a municipal advisor for Babylon, N.Y. bond financings had a conflict of interest and violated his fiduciary duty by also owning a company that provided the town with workers.