The SEC approved amendments to MSRB Rule G-11 ("Primary Offering Practices") and MSRB Rule G-32 ("Disclosures in Connection with Primary Offerings") that will go into effect on January 13, 2020.
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The SEC charged a municipal advisor with breaching its fiduciary duty by failing to provide services promised to its client.
The SEC Office of the Investor Advocate set forth its priorities for protecting and promoting the interests of retail investors in its annual report on objectives for the coming fiscal year.
Representative Maxine Waters (D-CA) introduced amendments to the securities laws as part of an omnibus spending bill, two of which freeze certain SEC proxy rulemaking initiatives.
SEC Commissioner Hester M. Peirce criticized efforts that would mandate gender requirements for the boards of public companies.