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Municipal advisor
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When consultants become municipal advisers
A Pennsylvania school consultant’s brush with regulators shows how easily operational support can drift into regulated financial advice.
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FINRA disciplinary action update 2026/5
Disciplinary decisions issued February 7 – 20, 2026.
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FINRA disciplinary action update 2025/30
Disciplinary decisions issued August 9 – 15, 2025.
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SEC resolves litigation against muni adviser, city of Rochester, NY
The SEC alleged that bond offering documents misled investors.
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Acting SEC directors reflect on an unprecedented year
Topics included outreach efforts, enforcement actions, and the benefits of cooperation.
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SEC charges 12 municipal advisers with recordkeeping violations
The charges relate to off-channel communications and related supervisory failures.