Securities law

FINRA examiners alleged Mesirow violated disclosure and supervisory rules.

A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.

A pilot program for the new Series 54 exam should be available early next year, the MSRB announced.

The MSRB's guidance on social media use by muni advisors under its new advertising rule could use some work, market participants said.

Where the SEC's Rick Fleming sees potential benefits, broker-dealers see burdensome, duplicative work.

The disclosure of some variable-rate demand obligation information on EMMA shouldn't be used to dismiss a lawsuit alleging fraud in VRDO remarketing,lawyers for the plaintiff told an Illinois court.

Dealer firms are trying to comply with newer rules like markup disclosure, while regulators are finding some problems and working to communicate more clearly.

Roisman is officially back at the SEC, but this time as a commissioner.

A total of three advisory groups will be providing input to the board in the new fiscal year.

Widespread use of the bid-wanted process as a price discovery tool could hurt market integrity, the MSRB believes.

The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.

The Securities and Exchange Commission has sent letters to the 12 top banks and broker-dealers that remarket variable rate demand obligations, seeking information and documents on their remarketing and rate resetting practices.

The MSRB is concerned about the fairness of so-called "pre-arranged trading," but some say it's a bit of a grey area.

The Senate voted 85 to 14 on Wednesday, mostly along party lines, to confirm Republican Elad Roisman to become a member of the Securities and Exchange Commission for a term expiring June 5, 2023.

The SEC is sorting out those charged with engaging in a large multi-year "flipping" and kickback scheme.

Republican Elad Roisman appears to be moving toward confirmation to the SEC without being paired with a Democrat.

Bond lawyers will recognize the late Jim Lebenthal and Lewis Horne with awards next month, as well as Virginia "Gigi" Benjamin.

The MSRB is making a push to understand muni market indicators.

President Trump's nominee Elad Roisman is a step closer to becoming an SEC commissioner.

Muni market groups claimed victory after federal banking regulators moved to treat munis like all other types of Level 2B HQLA.