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FINRA fined Quint Capital Corporation $35,000 and its founder Alexander Quint $10,000 over their role in allowing a broker banned by the SEC and FINRA to work for the firm.
February 15
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The jump signals a big pipeline of projects on the horizon.
February 14
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Muni issuers are staunchly opposed to what they characterize as an unfunded mandate that provides limited benefits.
February 13
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The scheduled expiration of the TCJA tax cuts "is the most significant factor pushing up tax revenues relative to income over the next 10 years," the CBO said.
February 13
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U.S. Virgin Islands Gov. Albert Bryan Jr. also voiced concern about the EPA closure of an oil refinery in St. Croix.
February 9
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The issue is important to lawmakers in high-tax states, and is also important to municipal issuers in those places who have said the cap infringes on their fiancial sovereignty.
February 9
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The proposed Rule G-46 seeks to clarify certain rules specific to solicitor municipal advisors, a very specific group of professionals.
February 9
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New legislation on the high priority is on its way.
February 9
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The Securities and Exchange Commission's examination priorities for the year include big ticket items like Regulation Best Interest.
February 8
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Translating bipartisan support for infrastructure funding into support for long-term financing is a key lobbying goal for the municipal bond market.
February 8
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Auburn University in Alabama is one of many schools and companies doing out research supported by the Biden administration to pursue commercial-grade fusion.
February 8 -
States are dealing with budget surpluses with taxpayer rebates, infrastructure projects and debt service.
February 8
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The Financial Industry Regulatory Authority found that BNA Wealth didn't meet the regulatory requirements when it sold shares in 529 plans.
February 7 -
A financial instrument that has appealed to many municipalities to remedy underfunded pension plans is once again looking like a losing borrow and bet scheme.
February 3
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The $10,000 state and local tax deduction cap is an important issue for high tax states like New York and California and investors who trade paper from those states.
February 2
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The political uncertainty could eat into the number of "clean weeks" for issuance, said Citi's Vikram Rai.
February 2
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The MSRB is proposing to allow previously qualified muni advisors, who have been out of the profession for two or more years, a one-time exemption from having to requalify by examination.
January 31
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The MSRB took no concrete actions at its meeting that ended last week, but discussed initiatives important to market participants.
January 30
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Kelly has twice introduced legislation to broaden private activity bonds.
January 27
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A number of states are taking aim at tax reductions, though some experts view the move as misguided policy.
January 26
