Financial regulations

In a post-tax reform world, the PFM Group created a new title, promoting Daniel Hartman to head of the financial advisory business.

Republican Elad Roisman appears to be moving toward confirmation to the SEC without being paired with a Democrat.

The SEC has added two events to the existing fourteen events under Rule 15c2-12, which requires certain notice filings with the MSRB’s EMMA system within 10 business days of occurrence.

President Trump's nominee Elad Roisman is a step closer to becoming an SEC commissioner.

As the dust settles on the SEC's 15c2-12 announcement, questions loom about how difficult it will be to implement.

The final rules will focus on debt obligations on a similar level as bonds, an effort to respond to comments that the first proposal was too broad.

The MSRB aims to provide considerations for firms looking at their compliance procedures.

The CFTC is set to decide how much swap activity necessitates inclusion in the swap dealer regulatory regime.

While she didn't work on muni issues specifically, Allison Lee is a seasoned buster of financial wrongdoers.

The Municipal Securities Rulemaking Board has selected two individuals representing the public and three from regulated entities from 80 applicants to become part of its 21-member board on Oct. 1.

The report card touts the MSRB's accomplishments, though that doesn't sit well with some market participants.

The MSRB is hurrying to release multiple rounds of guidance on its pending muni advisor advertising rule, but industry groups say the first round could use some polish.

During the new issue pricing period is when institutions place their orders. Independent advisors and their clients are wise to follow the money.

The sharp decline in trading spreads since 2005 was driven mainly by regulation and technological changes, according to the MSRB's chief economist.

Changes the Federal Reserve Board made in 2016 to its Liquidity Coverage Ratio rules would treat munis more restrictively than other, similar Level 2B high quality liquid assets.

While munis have received scant attention at previous meetings, a discussion of pre-trade transparency is on tap for next week's Fixed Income Market Structure Advisory Committee meeting.

Six straight treasurers want SEC chairman Jay Clayton to stay the course on the commission's forced arbitration policy.

Issuer groups urged a Senate Panel to undo a 2014 SEC rule change that required money market funds to use a floating net asset value.

The federal government's job board stops taking applications next week.

Ex-Morgan Stanley branch manager Terry Lee McCoy failed to act on several "red flags" that the accounts of an elderly and incapacitated customer were being abused, FINRA said.