MSRB

The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.

The Securities and Exchange Commission has sent letters to the 12 top banks and broker-dealers that remarket variable rate demand obligations, seeking information and documents on their remarketing and rate resetting practices.

The MSRB is concerned about the fairness of so-called "pre-arranged trading," but some say it's a bit of a grey area.

The SEC is sorting out those charged with engaging in a large multi-year "flipping" and kickback scheme.

SEC Chairman Jay Clayton cited Rebecca Olsen's "deep knowledge of the U.S. municipal bond market" and focus on "integrity and transparency" in naming her director.

The MSRB is making a push to understand muni market indicators.

The now-defunct unregistered broker-dealer Core Performance Management, LLC, and four of its former employees settled fraud and MSRB rule violations with the SEC for engaging in municipal bond flipping and kickback scheme.

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's new FAQs examine an issue on which municipal advisor firms have been seeking guidance for months.

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.

Underwriters and issuers agree that G-17 disclosures have become boilerplate and excessive, but diverge on whether a complete opt-out should be allowed.

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.

The resource document the MSRB released Thursday is designed to help dealers comply with rule changes on markup disclosures to retail investors that took effect on May 14.

Sen. John Kennedy, R-La., suggested he and Sen. Elizabeth Warren, D-Mass., may introduce a bill that would require MSRB to elect public members who represent consumers and are not just retired industry executives.

The Municipal Securities Rulemaking Board named Gary Hall as its next chair and Edward Sisk to become vice chair. It also temporarily cut fees to reduce excess reserves by $2.6 million.