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SEC wins in first ever Rule G-42 enforcement

SEC wins in first ever Rule G-42 enforcement
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United statesAl drago bloombergMatthias omearaPaula permenterExchange commissionUs district courtMunicipal securities rulemaking board ruleSouthern districtChoice advisorsFinancial data transparencyFinancial data transparency act photographerBella menteLiberty treeMatthiaso meara

Move to dismiss first-ever G-42 charges denied by federal judge

Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.

United statesMatthias omearaPaula permenterExchange commissionMatthiaso mearaChoice advisorMunicipal securities rulemaking board ruleChoice advisorsWashington dcSec enforcementMsrb rulesSecurities lawMunicipal advisors

Finding Time To Do Other Things When You Have A Full Time Job

When you have a full-time job, people assume that this is all you can do. However, this is not actually true

Matthias omearaMatthiaso meara

Municipal advisor and SEC spar over first-ever G-42 charges

The defendants believe the charges are lacking on numerous levels while the SEC argued that fee-splitting is a clear and known rule violation.

United statesMatthias omearaExchange commissionChoice advisorsMatthiaso mearaSec enforcementMsrb rulesWashington dc

Municipal advisor challenges first-ever G-42 SEC charges

The defendants are raising questions about due process and the definition of fee-splitting arrangements.

United statesSusan gaffneyMatthias omearaPaula permenterExchange commissionChoice advisorsNational association of municipal advisorsFinancial industry regulatory authorityMatthiaso mearaLeeann gauntPublic finance abuseNational associationMunicipal advisorsIndustry regulatory authoritySec enforcementMsrb rules

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