Connor Hussey is a reporter for the Bond Buyer. Before settling on municipal securities, he covered many facets of the finance industry, including private equity for Private Equity International and Private
Funds CFO, as well as tax for the International Tax Review and financial law for the International Financial Law Review. He has a B.A. in Economics and English Literature from the University of Maine.
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Panelists at the SEC, FINRA and MSRB joint Compliance Outreach Program looked at the state of municipal advisor regulation and how the Commission could respond going forward.
November 20 -
Drexel Hamilton and four of its representatives were charged by the Financial Industry Regulatory Authority for violating the retail order period eligibility criteria set by municipalities.
November 19 -
The board is seeking one municipal advisor, one broker-dealer and two public representatives to join the board for FY 2026.
November 19 -
Rudy MeJia Jr. has been fined and given an eight-month suspension from associating with any FINRA member firm for failing to disclose that he opened a private investment pool and was receiving commission for sales on behalf of it.
November 13 -
The board has launched the new Technology Advisory Group and relaunched the Compliance Advisory Group and is seeking volunteers for both.
November 12 -
Lawyers are beginning to flesh out what the specifics of what a second Trump administration may look like, and what we can expect before Biden passes the baton.
November 11 -
The board has put out fourteen questions on its fee setting process and will be accepting responses until January 31.
October 31 -
Municipal advisor Hamlin Capital Advisors and Michael Ferrell Braun have been charged by the SEC for failing to disclose material conflicts of interest to its charter school clients.
October 28 -
The Municipal Securities Rulemaking Board held its first board meeting over Oct. 23-24, where it approved a number of rule proposals and requests.
October 25 -
The Securities and Exchange Commission has charged Alliance Global Partners with publishing daily quotes at above market prices on between 4,300 and 6,500 different municipal bonds over a two-year period.
October 22
