6/26/2018 | SP | SEC: Wells Fargo Advisors settles charges for market-tied investments
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4/19/2018 | SP | As SEC proposes new broker standards, some wave goodbye to DOL fiduciary rule
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10/14/2015 | SP | UBS to pay $19.5 million to settle SEC charges over structured notes
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9/30/2015 | MU | SEC sanctions 22 underwriting firms for municipal offering violations
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3/26/2015 | IG | SEC charges Global Fixed Income, unregistered broker-dealers
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3/25/2015 | PP | SEC adopts new Regulation A+ rules, allowing more investment options
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1/30/2015 | HYIGLM | SEC takes ‘no action’ stance on five-business-day tender offers
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10/21/2014 | MU | SEC: Municipal securities director Cross to leave agency in November
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7/31/2014 | MU | SEC extends deadline for issuers to self-report municipal violations
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4/2/2014 | MU | SEC taps municipal securities chief counsel Olsen, deputy director Kane
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3/10/2014 | MU | SEC to give better settlement terms to self-reported municipal fraud
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2/3/2014 | HYIGMU | SEC aims to improve order execution quality, draft strategic plan says
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1/15/2014 | PF | Banks OK'd to keep interests in some trust preferred-backed CDOs
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1/13/2014 | MU | SEC: Municipal advisor registration compliance required on July 1
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1/6/2014 | SP | SEC names Osnato as chief of division's financial instruments unit
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12/31/2013 | PF | SEC, other agencies review treatment of trust preferred-backed CDOs
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11/8/2013 | MU | SEC appoints Gaunt as municipal securities, public pensions unit chief
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9/18/2013 | MU | SEC approves registration requirement for municipal advisors
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7/10/2013 | CVHYIGPPPV | SEC lifts ban on general solicitation, advertising for private issues
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2/27/2013 | IGMU | SEC to hold roundtable focused on transparency of fixed-income markets
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9/21/2012 | MU | SEC extends temporary municipal advisor registration rule by one year
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9/4/2012 | MU | SEC issues risk alert on 'pay-to-play' prohibitions under MSRB rules
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8/2/2012 | MU | SEC hires John J Cross III to lead new municipal securities office
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7/31/2012 | MU | SEC wants additional authority to make changes to municipal market
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4/19/2012 | SP | Some sellsiders voice concerns, criticism of SEC's letter on disclosure
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4/16/2012 | SP | SEC's letter on disclosure may be counterproductive, buysiders say
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4/13/2012 | SP | SEC tells some structured product issuers to improve disclosure
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3/19/2012 | MU | SEC gives alert on strengthening municipals' underwriting practices
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12/22/2011 | PP | SEC tweaks definition of 'accredited investor' for unregistered sales
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12/21/2011 | MU | SEC extends rule on municipal advisor registration by nine months
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12/8/2011 | MU | SEC issues order against Zenon Pinard due to 'improper practices'
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12/6/2011 | EM | SEC says hedge fund manager, broker committed fraud, overvaluation
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12/5/2011 | FD | SEC says hedge fund manager, broker committed fraud, overvaluation
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9/28/2011 | PP | SEC charges Corey Ribotsky with fraud involving PIPE transactions
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9/13/2011 | PP | SEC seeks more input from small and emerging companies
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7/28/2011 | SP | SEC's sweep report on product sales not news for industry already aware of problems
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7/27/2011 | SP | SEC conducts sweep examination of structured products sales to retail clients
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7/26/2011 | EMHYIGPF | SEC to replace ratings criteria with new tests for short-form filings
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7/15/2011 | MU | SEC to hold field hearing on state of municipal securities market
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6/2/2011 | SP | SEC, Finra warn retail investors about notes with principal protection
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2/9/2011 | EMHYIGPF | SEC proposal would remove ratings from eligibility test for shelf filings
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1/7/2011 | MU | Tax Free Fund for Utah former managers get SEC cease-and-desist orders
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12/20/2010 | MU | SEC proposes permanent rule requiring municipal advisers to register
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11/24/2010 | MU | SEC plans second field hearing to address municipal issues on Dec. 7
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11/12/2010 | MU | SEC grants proposed rule change on municipal advisers filed by MSRB
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9/7/2010 | MU | SEC plans field hearings across the U.S. to address municipals issues
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9/2/2010 | MU | SEC adopts temporary rule requiring municipal advisers to register
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7/15/2010 | MU | SEC order finds Kendrick's campaign contributions breached MSRB rules
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3/24/2010 | MU | SEC alleges that Kendrick dealt munis through Southwest after exceeding campaign contribution limits
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3/18/2010 | MU | SEC: Supervisors of municipal finance professionals must also abide by pay-to-play rule
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3/2/2010 | MU | SEC and IRS agree to work more closely in municipal bond enforcement
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7/15/2009 | MU | SEC votes in favor of enhancing municipal securities disclosure
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7/1/2009 | SS | SEC takes measures intended to improve corporate governance
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6/11/2009 | SS | SEC proposes rule amendments related to shareholder nominations
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3/19/2009 | PP | SEC issues order against attorney Rowzee alleging fraudulent offer
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12/3/2008 | BKCVDDEMHYIGMU | SEC approves measures to strengthen oversight of rating agencies
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7/30/2008 | MU | SEC votes to allow free internet access to municipal bond financial information
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7/24/2008 | SP | SEC approves listing, trading of options on index-linked securities on NYSE Arca
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