- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC is looking to better protect investors and enhance transparency in the municipal securities market with two proposed rule amendments.
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Investors, especially those lacking financial literacy skills, may soon benefit from the SEC’s efforts to modernize its disclosure regime and filing requirements.
New York-based investment firm Drexel Hamilton will pay more than $1.1 million in penalties, with four current and former employees paying fines as well over committing hundreds of violations of rules regarding the sale of municipal bonds.
The Securities and Exchange Commission for the first time punished a broker-dealer—Chicago-based Loop Capital Markets—for providing advice to a municipal entity without registering with the agency as a municipal adviser.
