SEC charges broker-dealer in another first-of-its-kind case
The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor
Source: bondbuyer.com
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SEC charges Sterlington, Louisiana, and former mayor with fraud
The SEC charged the town, former mayor Vern Breland, municipal adviser Twin Spires Financial and its owner Aaron Fletcher with misleading investors in connection with bond offerings in 2017 and 2018.
Source: bondbuyer.com
The SEC's municipal advisor exam findings
Officials from multiple regulators came together on Thursday for a detailed discussion about municipal advisory regulation.
Source: bondbuyer.com