more
Washington
SIFMA Wants Specifics on Compliance Exam Factors
by: Joan Quigley
Wednesday, November 23, 2011
Print
Email
Reprints

WASHINGTON - An industry group has asked regulators to disclose the factors they will use to determine which muni broker-dealers pose more risks and should undergo compliance examinations more often under a new proposed exam program.

To continue reading, log in, register or subscribe below.

Already a subscriber? Log in here.

Please note you must now log in with your email address and password.

 

Multimedia
markets
Schroders' Friedland: Funds Taking On More Risk With Puerto Rico
markets
markets
markets

Social

twitter
facebook
linkedin
LOG IN OR SIGN UP To personalize

Trending

most viewed
most emailed

Opinion

see all
Commentary - When It May Be Virtually Free to Be Tax Free
Before the financial crisis of 2008-09, it would have been significant news if yields on municipal bonds had exceeded those on Treasury securities at any maturity, and that occurrence likely would have attracted a variety of investors seeking to take advantage of the relative-value opportunity.

Upcoming Events

see all
the bond buyer conferences
Already a subscriber? Log in here
Please note you must now log in with your email address and password.