-
On Tuesday, the Municipal Securities Rulemaking Board filed a proposal with the SEC to changing Rule G-3, which governs continuing education requirements.
September 1 -
Los Angeles' debt manager says the mandate will not change the already inclusive processes it uses to hire financial teams to work on the city's debt.
August 30 -
The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board's proposed changes to Rule G-34 on CUSIP applications, removing the requirement for municipal advisors to file new issue applications in one business day, among other changes.
August 26 -
FINRA and MSRB actions are drawing broker-dealer firms to lobbying groups.
August 25 -
Brokers should be aware that inaccurate tax reporting could force its brokerage clients to seek damages and could force dealers to make their clients sign a liability waiver, as the recent muni case Richard Goodman v. UBS Financial Services highlights.
August 17 -
The proposal may be less feasible for certain types of trades, market participants said, especially larger trades.
August 3 -
A new study found that following the recent law in Texas law barring muni underwiriting by banks discriminating against the oil and gas industry, municipalities face higher borrowing costs after many players exited the market.
July 18 -
The MSRB’s proposed changes to its fee structure fails to address the discrepancy between fees generated from dealers and municipal advisors in addition to a lack of transparency in its budgeting process.
July 7 -
The MSRB plans to issue a request for comment on its Rule G-14, in addition to publishing a summary of the comments on its request for information on ESG factors.
April 29 -
The Securities and Exchange Commission’s Division of Examinations intends to home in on municipal advisor obligations, transfer agents and municipal issuer disclosures.
March 31