SEC enforcement

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.

Former Ramapo, N.Y. town supervisor Christopher St. Lawrence is arguing he should either be acquitted or retried because of errors by the judge made before and during the trial as well as prejudice from jurors who found him guilty of 20 counts of conspiracy and fraud in connection with municipal bonds issued by the town and an authority.

The SEC could charge workers from Morgan Stanley & Co. and Barclays Capital, who worked on the deals.

Dwayne Edwards and 11 companies have agreed to a judgment in a case with ties to Christopher Brogdon.

Lawyers on a panel said issuers should focus on good policies and procedures as well as SEC enforcement trends.

A judge has approved a settlement between the SEC and lawyer Robert Crowe over pay-to-play charges.

The SEC told a federal judge that it may be nearing a settlement in a case over fraudulent bonds.

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.