Connor Hussey

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.

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.

Issuers and development advocates urged lawmakers to include advance refunding, the expansion of opportunity zones, and other muni prorities in any upcoming tax package.

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.

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.

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.

The Jeffrey Matthews Financial Group has been fined by FINRA for failing to achieve compliance with Regulation Best Interest.

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.

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.

The amendments add disclosure scenarios, slightly update the definition of materiality as well as clarify details of supplementary material.

State and local government subsidies for sports stadiums reached an almost 20-year high in 2023, but the ballooning industry could cause adverse financial and economic effects, Moody's warns.

The SEC, MSRB and FINRA will gather in Denver Nov. 20-21 to discuss compliance for MAs and broker-dealers, examination priorities, and more.

The Supreme Court decision in SEC v. Jarkesy held that Congress can't force regulated entities to defend themselves in the SEC's in-house court, but likely won't change much for the Public Finance Abuse Unit.

Passed every two years since 2016, the Water Resources Development Act of 2024 hits on many of President Biden's climate and resiliency goals.

A petition aimed at the Federal Emergency Management Agency highlights the deficiencies and opportunities FEMA has in adapting to a world of frequent extreme weather events

Laura Allen, former president of the Government Finance Officers Association, hands the baton off to Tanya Garost at a time when the group is taking new steps to recruit and engage with its members.

House Transportation and Infrastructure Committee lawmakers urged new bills and new ways for transit authorities to deal with the post-COVID dynamics.

New rules finalized by the Securities and Exchange Commission aim to bring dealer supervision up to the new standards of remote work but only address part of the problem

The board has issued a request for comment on amendments to Rule A-12 and Form A-12 on registration for associated persons for display on the MSRB site.

Shailen Bhatt, administrator for the Federal Highway Administration, said his agency is working to play catch up on initiatives as diverse as rebuilding Baltimore's downed bridge and building electric vehicle chargers.