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News

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Search Results: U.S. Securities and Exchange Commission (SEC)

Displaying 1 - 50 of 233

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SEC Amends and Updates Rule 15c2-12; Changes Take Effect February 27
K&L Gates | Jan. 29 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

More Than 3,000 Individuals at 505 Firms Qualify as Municipal Advisors
The Bond Buyer | Sep. 25, 2017 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

MCDC Architect Chan Makes Muni Enforcement Predictions
The Bond Buyer | Sep. 14, 2017 | U.S. Dept. of Justice (DOJ) | U.S. Securities and Exchange Commission (SEC)

MCDC Has Left State and Local Issuers with Many Questions
The Bond Buyer | Jul. 27, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Lawyers Say Policies, Procedures Key for Issuers Amid SEC Focus on Enforcement
The Bond Buyer | May. 25, 2017 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

SEC Approves Continuing Education Reqs. for MAs; MSRB Promises Future Guidance
The Bond Buyer | May. 18, 2017 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

MSRB to Pull Its Proposed Minimum Denomination Rule from the SEC
The Bond Buyer | May. 4, 2017 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

IRS Teeing up More Flexible Rules for Public Approval of PABs
The Bond Buyer | May. 4, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

NABL Takes Complaints about SEC Disclosure Rule Proposal to OMB
The Bond Buyer | Apr. 13, 2017 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Scott: IRS Should Go After Developer, Lawyers in DC Bond Deal
The Bond Buyer | Mar. 30, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

RICC Agrees to Settle SEC Fraud Charges in 38 Studios Case
The Bond Buyer | Mar. 30, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Clayton Would Make Enforcement of Individuals a Priority
The Bond Buyer | Mar. 23, 2017 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

SEC: What Issuers and Lawyers Should Know About the Miami Case
The Bond Buyer | Mar. 22, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

SEC's Proposed Disclosure Amendments Criticized as too Costly, Burdensome
The Bond Buyer | Mar. 21, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Bond Documents Being Revised for Issue Price Rules
The Bond Buyer | Mar. 16, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Lawyers Concerned About Burdens From SEC Disclosure Amendments
The Bond Buyer | Mar. 9, 2017 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Dealers Say MSRB Minimum Denomination Rule Would Hurt Investors
The Bond Buyer | Mar. 7, 2017 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

SEC to Propose Issuer Disclosures on Bank Loans, Private Placements
The Bond Buyer | Mar. 2, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

MSRB Files Standalone Minimum Denomination Rule with SEC
The Bond Buyer | Jan. 26, 2017 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

SEC Approves New Complaint Process for MAs; Update for Dealers
The Bond Buyer | Jan. 19, 2017 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Choice of Clayton for SEC Fits With Deregulation
The Bond Buyer | Jan. 4, 2017 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

OUTLOOK: Pricing, Disclosure Actions Expected in 2017 with Uptick in MA Cases
The Bond Buyer | Jan. 3, 2017 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

SEC Ends MCDC Settlements, Turns to Violators That Didn't Participate
The Bond Buyer | Dec. 15, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

SEC: Former Miami Official's Arguments Lack Respect for Fraud Verdict
The Bond Buyer | Dec. 1, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

SEC's White Points to Muni Cases as Bolder Approach to Enforcement
The Bond Buyer | Nov. 22, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Republicans Warn Federal Agencies Against Finalizing Rules
The Bond Buyer | Nov. 17, 2016 | Federal | Internal Revenue Service (IRS) | U.S. Dept. of Treasury | U.S. Securities and Exchange Commission (SEC)

MSRB Seeks New Complaint Process for MAs, Updated One for Dealers
The Bond Buyer | Nov. 2, 2016 | Bond Finance | Federal | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

SEC Ruling Sparks Concern for Munis
The Bond Buyer | Nov. 1, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

FINRA Examiners Probing Firms' Involvement with Bank Loans
The Bond Buyer | Oct. 27, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

SEC Will Tell All MCDC Submitters If They Face Enforcement Action
The Bond Buyer | Oct. 27, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

SEC Examiners Find MA Violations, Expect More Reviews Next Year
The Bond Buyer | Oct. 13, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Municipal Advisor and Issuer Needs Post MCDC
The Bond Buyer | Oct. 13, 2016 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

Municipal Advisors Put Focus on Staying Clear of Dealer Activity
The Bond Buyer | Oct. 11, 2016 | Bond Finance | Federal | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

Judge Brings Cannava Back into SEC's 38 Studios Litigation
The Bond Buyer | Oct. 7, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Dealers to SEC: Markup Proposal Overly Complex, Would Hurt Liquidity
The Bond Buyer | Oct. 6, 2016 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

Miami to Meet Oct. 13 to Review SEC Settlement
The Bond Buyer | Sep. 29, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Miami to Consider SEC Settlement
The Bond Buyer | Sep. 22, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

How MCDC Has Changed Continuing Disclosure Practices
The Bond Buyer | Sep. 22, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

SEC Allows MSRB to Provide Three-Year Old Trade Data to Academics
The Bond Buyer | Sep. 15, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Takeaways From the SEC's MCDC Settlements
The Bond Buyer | Sep. 12, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Carilion Reaches Settlement With SEC
BH Media Group | Sep. 7, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

Hawkins Advisory: MCDC Settlement with Issuers
Hawkins Delafield & Wood | Aug. 25, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative
SEC | Aug. 25, 2016 | Federal | U.S. Securities and Exchange Commission (SEC)

Why Market Groups Want SEC Disclosure Guidance
The Bond Buyer | Aug. 11, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Why a Judge Dismissed Cannava from SEC's 38 Studios Case
The Bond Buyer | Aug. 11, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

MSRB to Move Forward With Markup Rule, Scrap Bank Loan Idea
The Bond Buyer | Aug. 1, 2016 | Federal | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

State GOP Parties: SEC Was Legally Required to Reject Rule G-37 Changes
The Bond Buyer | Jul. 29, 2016 | Bond Finance | Federal | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

Why the SEC Says it Can't Fight a Challenge to a Pay-To-Play Rule
The Bond Buyer | Jul. 28, 2016 | Bond Finance | U.S. Securities and Exchange Commission (SEC)

How Ramapo, NY and Its Attorney Are Disputing SEC Fraud Charges
The Bond Buyer | Jul. 21, 2016 | Bond Finance | Federal | U.S. Securities and Exchange Commission (SEC)

Expanding Enforcement: Profound Changes for Issuers, Officials
The Bond Buyer | Jul. 14, 2016 | Bond Finance | Municipal Securities Rulemaking Board (MSRB) | U.S. Securities and Exchange Commission (SEC)

Displaying 1 - 50 of 233

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