Securities law

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.

Muni market participants will have more time to prepare for customer account transfer changes.