Municipal Securities

Had LFC actually conducted due diligence on the material representations contained in the official statement, including conducting EMMA checks, LFC would have detected that no ...

The SEC has taken another step in its ongoing efforts to improve transparency in the municipal securities market. The Commission approved March 1 proposed amendments ...

The proposed amendments would amend the list of events for which notice is to be provided to include (i) incurrence of a financial obligation of ...

These event notices would facilitate timely access by investors and other market participants to important information about municipal issuers’ financial obligations. With this information, ...

Today’s proposal would take a step toward increased transparency. Specifically, it would update the rule with the aim of providing more timely information about ...

I think it is worth asking whether the tax benefits of municipal bonds, which were presumably intended (at least in part) to incentivize investment in ...

These proceedings involve the sale of both non-investment grade or “junk” bonds, and unrated bonds by Feltl & Company, Inc. (“Feltl”), a registered broker-dealer and ...

The SEC's complaint charges Ramapo, RLDC, St. Lawrence, Troodler, Klein, and Oberman with violations of Section 17(a) of the Securities Act of 1933 and Section ...

Detter and Malone were aware of the conflict posed by performing both municipal advisor services and underwriting services for the Offerings. For example, in an ...

The SEC also charged Wells Fargo's lead banker on the deal, Peter M. Cannava, and two then-RIEDC executives Keith W. Stokes and James Michael Saul ...