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Major banks accused of manipulating the variable-rate market are seeking to get the court to toss out the second amended whistleblower complaint filed by municipal advisor Johan Rosenberg.
November 13
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The changes will slim down underwriters' disclosures to issuers, which many believed had become too lengthy and wordy to be useful.
November 11
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The SEC brought four civil lawsuits and 10 stand-alone administrative proceedings, according to its annual report released Wednesday.
November 6
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The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.
November 6
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Dealer groups believe that some sections of the proposed amended guidance such as complex financing and disclosure standards would add complexity to the rule.
October 30
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Baker McKenzie created a new group to integrate regulation and enforcement in a move to align with the Securities and Exchange Commission's practices.
October 29
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The Municipal Securities Rulemaking Board plans a review after pressure from Sens. John Kennedy and Elizabeth Warren to change the makeup of its membership.
October 25
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In the SEC inquiry, along with a separate FAA investigation, regulators are trying to determine if airport revenues were misspent.
October 24
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The Securities and Exchange Commission issued a non-public letter to the city of Atlanta last week, prompting a possible investigation into its airport.
October 17
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The dealer entered into two municipal bond orders into a recently deceased customer's account.
October 17
