Securities law

The SEC's Catherine McGuire, credited with writing key muni rules, retires

MSRB seeking information on primary offering practices, including issue price rules.

Municipal Bond Club of New York members were urged to "continue preaching" the benefits as Congress debates tax reform.

FINRA dings firms for failing to report muni trades, trading below minimum denominations.

MSRB tells issuers how to avoid failing to widely disclose information to all investors.

Any voluntary disclosure that is reasonably expected to reach investors is subject to the antifraud provisions of the federal securities laws.

Former SEC lawyer Peter Chan has some ideas where SEC enforcement actions may be headed.

If Trump nominates Robert Jackson and the Senate confirms Peirce and him, the SEC would be full.

The Municipal Securities Rulemaking Board seeks approval to change its rule governing CUSIPs.

The legacy of the MCDC initiative lives on, lawyers said.

MSRB wants to fine-tune data it gets on municipal fund securities to be able to better compare it.

The parties would have been more leniently treated if they reported failures under MCDC.

The advertising rule changes reflect regulatory developments and will inform investors..

Lokken will work in Atlanta as Parker Poe continues to expand in the Southeast.

NFS failed to follow underwriter instructions; Corecap failed to report transactions.

Market participants are unsure what the Municipal Securities Rulemaking Board is after.

After Sept. 12, municipal advisor representatives who have not passed the Series 50 Exam may not engage in MA activities.

General John F. Kelly’s arrival as the Chief of Staff at the White House is hopefully a harbinger of more positive action.

Davenport's Lucy Hooper will become MSRB chair and Goldman's Arthur MIller will continue as vice chair for fiscal 2018, the board said in announcing new officers and members.

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.