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The Financial Industry Regulatory Authority found that the firm had not included the non-transaction-based compensation indicator on 23,000 municipal securities transactions.
September 18 -
The commission charged the municipal advisors with recordkeeping failures stemming from use of unmonitored communications, such as text messages, to conduct business.
September 17 -
Current FHWA deputy administrator Kristin White will serve as acting administrator until a successor is named.
September 13 -
NAFOA is supporting passage of the Tribal Tax & Investment Reform Act, which would free up tribal bond issuance.
September 13 -
President Joe Biden's so-called billionaire tax supported by Vice President Kamala Harris, which would tax unrealized gains from assets including bonds, would raise $500 billion over 10 years, according to Sen. Elizabeth Warren, D-Mass.
September 13 -
The agencies are overstepping their statutory authority in trying to force the market to adopt a new securities identifier, says the American Bankers Association.
September 12 -
A report by the Securities Industry and Financial Markets Association shows that the move to a T+1 settlement cycle has struck the right balance between increasing efficiencies and mitigating risk.
September 12 -
House Republicans are once again careening towards a government shutdown
September 12 -
The candidates touched on muni-adjacent issues like energy policy, housing and tariffs but offered little new information on infrastructure proposals or tax policies.
September 11 -
The House Financial Services Committee held a hearing Tuesday examining the practices of proxy advisors and their relationship with ESG investing.
September 11