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The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.
January 30 -
Municipal debt has become more concentrated in the hands of the wealthiest investors, which may prompt lawmakers to rethink the tax-exempt benefits.
July 15 -
An arbitration panel found that a client's complaint about a former wirehouse advisor was "factually impossible or clearly erroneous."
March 21 -
The commission also settled related charges against First Southwest, a financial advisor, for failing to document its advisory relationship with the agency for seven months.
March 7 -
Santander is the latest firm to get hit with regulatory penalties related to the sale of Puerto Rican municipal bonds and close-end funds.
October 13 -
The two Citigroup companies agreed to $180 million on Monday to settle charges they defrauded investors by claiming the investments in two now-defunct hedge funds were safe, low-risk and suitable for traditional bond investors.
August 17 -
Securities and Exchange Commission members are calling for the adoption of rules requiring broker-dealers to disclose markups and markdowns on municipal securities, warning that if self-regulators do not act, the SEC will propose the rules itself.
August 14 -
In the first action of its kind, the Securities and Exchange Commission has ordered St. Louis-based brokerage Edward Jones to pay $20 million for overcharging retail customers in new municipal bond sales.
August 13
