An Arkansas-based broker-dealer, often serving as an underwriter, and its former CEO settled SEC charges for fair dealing violations arising from a municipal bond tender offer.

The staff of the SEC Division of Investment Management withdrew 2010 guidance which reviewed the permissibility of an SEC-registered, closed-end fund determining to opt in to a control share acquisition statute authorized under state law.

SEC staff requested feedback on the impact of recent EU rules on research and three related SEC no-action letters.

The SEC issued three no-action letters intended to facilitate compliance with new MiFID II research provisions.

The Office of Financial Research academics analyzed the effects of "procyclical" central counterparty margin requirements.