In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
23 News Results
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.
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities concerning ethical standards for financial advisors.
The SEC charged a municipal advisor with breaching its fiduciary duty by failing to provide services promised to its client.
The MSRB provided updated guidance on rules affecting the duties of non-solicitor municipal advisors and the making of recommendations.