Broker dealers

The American Securities Association sent a letter to the SEC regarding the regulator's proposed exemptive order for muni advisors, calling it an "ill-advised effort."

Bond Dealers of America sent the SEC a long list of requests to limit municipal advisors' roles in private placements.

The Municipal Securities Rulemaking Board's assets dropped by $8.5 million.

An SEC advisory committee recommended allowing investment advisers affiliated with broker-dealers to offer and sell negotiated new issue muni bonds during the order period that the dealer also participates in.

The Financial Industry Regulatory Authority released its annual Risk Monitoring and Examinations Priorities letter Thursday.

Jay Goldstone was considered instrumental in San Diego’s re-entry to the bond markets following the city’s pensions scandal in the mid-aughts.

The Municipal Securities Rulemaking Board will require more data starting Nov. 30, 2020.

The proposal would impact the private placement business and may require amendments of MSRB rules.

Kenneth E. Bentsen Jr., the securities industry trade group's CEO, warned against a proposal to exempt some muni advisors from registering as broker-dealers.

Securities and Exchange Commission Chair Jay Clayton seemed noncommittal on a proposed exemptive order for municipal advisors.