Tag: municipal_securities
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SEC Office of Municipal Securities Issues Statement on Non-Solicitor Municipal Advisors' Role in Disclosure
The SEC's Office of Municipal Securities has published a new statement addressing the role non-solicitor municipal advisors play in disclosure, posted to the agency's speeches and statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionOffice of Municipal Securitiesmunicipal advisorsdisclosuremunicipal securitiesregulationWashington, DC
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SEC: 21 Municipal Securities Underwriters Fined $325,000 Total
NASD Regulation censured and fined 21 securities firms for violating Municipal Securities Rulemaking Board Rule G-36, with the Comptroller of the Currency also sanctioning firms.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionNASD Regulation Inc.Municipal Securities Rulemaking BoardRule G-36Comptroller of the Currencymunicipal securitiesfines