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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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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. ....

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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 ....

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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. ....

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Municipal advisor challenges first-ever G-42 SEC charges

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

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