The municipal advisory firm and one of its principals charged in a first-of-its-kind case in September is asking a federal court in California to dismiss the lawsuit, arguing that the Securities and ...

The Securities and Exchange Commission obtained an emergency court order today to halt an alleged Ponzi-like scheme operated by California-based Small Business Capital Corp. (SBC) and its founder that ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...

This alert is to inform you that the Municipal Securities Rulemaking Board (MSRB) recently submitted Proposed Rule G-42 (standards of conduct for nonsolicitor municipal advisors) to the Securities and ...

The SEC announced Friday it had dismissed 42 pending enforcement cases after discovering enforcement staff had improper access to materials meant for commission officials ruling on those cases. The ...