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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The amendments to MSRB rule A-12 on registration would cause bank dealers to disclose associated persons, the same requirements that currently apply to non-bank dealers.
August 6 -
Riedl First Securities Company of Kansas has been fined $15,000 by FINRA for charging unfair prices, violating MSRB Rule G-30 on fair pricing and MSRB Rule G-27 on supervision.
July 31 -
Issuers and development advocates urged lawmakers to include advance refunding, the expansion of opportunity zones, and other muni prorities in any upcoming tax package.
July 30 -
The Jeffrey Matthews Financial Group has been charged $110,000 for charging unfair prices on 86 municipal bond transactions a week after being dinged for Reg BI violations.
July 29 -
During its final quarterly meeting for the FY 2024 fiscal year, the Municipal Securities Rulemaking Board elected a new chair and vice chair, and approved a $48.8 million budget for the upcoming year.
July 26 -
Philadelphia-based Janney Montgomery Scott has been fined by the Financial Industry Regulatory Authority for reporting inaccurate times of trade on 391 municipal securities transactions.
July 24 -
The Jeffrey Matthews Financial Group has been fined by FINRA for failing to achieve compliance with Regulation Best Interest.
July 22 -
A study of county governments to be presented at this year's Brookings Municipal Finance Conference shows federal pandemic aid led to a mild reduction in borrowing costs, a drop in credit quality and a preference for short-term over long-term debt instruments.
July 16 -
Birmingham, Alabama-based FNBB Capital Markets has been fined by the regulator for failing to include certain mark-ups and mark-downs on dealer confirmations sent to retail customers.
July 15 -
The amendments add disclosure scenarios, slightly update the definition of materiality as well as clarify details of supplementary material.
July 12
