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Municipal Securities Underwriters Pay a Total of $325,000 in Fines
3+ day, 8+ hour ago (61+ words) The Securitiesand Exchange Commission announced today that NASD RegulationInc. censured and fined 21 securities firms for violationsof Rule G-36 of the Municipal Securities Rulemaking Board.At the same time, the Comptroller of the Currency sanctioneda… Washington, DC, Dec. 16, 2026 — The SEC, NASD Regulation…...
Statement on Proposed Rescission of Rule 206(4)-5 under the Investment Advisers Act
1+ week, 3+ day ago (399+ words) Commissioner Mark T. Uyeda Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Proposed Rescission of Rule 206(4)-5 under the Investment Advisers Act Sixteen years ago, the Commission adopted Rule 206(4)-5 under the Investment Advisers Act (“Advisers…...
Time to Transfer: Statement on Proposed Transfer Agent Rules
1+ week, 6+ day ago (555+ words) Commissioner Hester M. Peirce Official websites use.gov Secure.gov websites use HTTPS More in this Section Time to Transfer: Statement on Proposed Transfer Agent Rules I am delighted that the transfer agent rule proposal is seeing the light of day…...
SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
2+ week, 2+ day ago (286+ words) The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obligations designated as "exempted… Official websites use....