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"The position is open in Washington, D.C. or any SEC regional office, including New York City," Rebecca Olsen, deputy chief of the Public Finance Abuse Unit, said in a LinkedIn post.
August 10 -
"They're totally more vulnerable," Michael Sudsina, president and CEO of Ohio-based municipal advisory firm Sudsina & Associates, LLC, said.
August 6 -
Jonathan Fiebach, David Womack, Elizabeth Coolidge and Jeff White have each been elected to serve a four-year term beginning on Oct. 1
July 30 -
The filing comes after the MSRB in January published a request for comment seeking input on draft amendments to Rule G-27.
July 27 -
During the meeting, the board also approved a $48 million FY2027 budget, representing a 3.7% increase from the MSRB's FY2026 budget.
July 24 -
Muni ETFs experienced "some of the most severe and prolonged pricing dislocations across all ETF categories in March 2020," the paper said.
July 24 -
While NAMA believes FA references should be eliminated, it urged the MSRB to address the proposed amendments as part of its retrospective review of MA rules.
July 22 -
The meeting, set for July 22 and July 23, will be the board's final quarterly meeting of fiscal year 2026.
July 16 -
"Currently, we are spending a lot more time of our day in the regulatory space in responding to proposed rules and changes," GFOA's Paige Mellerio said.
July 15 -
The updated FAQs offer "important insights about recordkeeping requirements related to new issue pricing," NAMA Executive Director Susan Gaffney said.
July 13 -
"Nothing motivates enforcement staff more than protecting those who invest their savings in our markets," said David Woodcock, director of the SEC's Division of Enforcement.
July 8 -
"We're basically engaging more of the bond market ecosystem in everything we do," said Mike Nicholas, CEO of the Bond Market Association.
July 1 -
Conners & Co. consented to FINRA's findings without admitting or denying them.
June 26 -
"It's hard to know whether a decrease in enforcement is a statistical blip or early evidence of [a] meeker, milder FINRA in the current era," said Benjamin Edwards, an associate dean at UNLV law school.
June 23 -
The firm violated MSRB Rules G-47 and G-27, FINRA found
June 22 -
"I think generally there is an over-emphasis placed on the takedown at the expense of considering the overall cost of the transaction," Nikolai Sklaroff, capital finance director at the San Francisco Public Utilities Commission, said.
June 16 -
"I would say we were pleasantly surprised that there aren't mandates that are laced in this proposal," GFOA's Emily Brock said.
June 8 -
"My 10 years at Academy Securities building out the municipal platform while mentoring military veterans has been the highlight of my career," Kolman said.
June 5 -
Regulators may be questioning "whether these trading accounts are really institutions or whether they function like an unregistered broker."
June 4 -
"When FINRA and MSRB rules which cover similar functions differ in their application, it raises compliance costs for dealers and raises the risk of inadvertent noncompliance," the Bond Dealers of America said in its letter.
June 1















