Securities law

The government shutdown limits the SEC's ability to answer issuers' questions on continuing disclosure requirements that take effect Feb. 27.

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

The Municipal Securities Rulemaking Board is looking to fill five spots for its Board of Directors, important roles influencing the municipal market.

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trading has the potential to do harm to the muni market and land broker-dealer firms in trouble, according to new MSRB draft guidance.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

Muni regulators are expected to slow the pace of new rulemaking and focus on enforcement in 2019, with an emphasis on continuing disclosure.

The SEC announced the settlement with former UBS broker Chris Rosenthal, the biggest yet from its ongoing flipping investigation.

The MSRB got a green light for tighter reporting rules for dealers as the regulator starts to monitor the municipal fund securities market.

Sen. John Kennedy blasted the Municipal Securities Rulemaking Board during a Senate Banking, Housing and Urban Affairs Committee meeting.