Broker dealers

Barkley hopes to get members back to educational events in person as well as adding younger members to the NFMA roster.

The MSRB's request for information on environmental, social and governance considerations in the muni market showed just how uneasy market participants are feeling.

The Chicago-based organization is more than a quarter century old and intent on growing.

The broker-dealer has added several people to a team that specializes in land-based municipal bond transactions.

The Municipal Securities Rulemaking Board voted to propose amendments to extend remote inspections until the end of this year, in addition to adjusting its fee model for the 2023 year.

The Municipal Securities Rulemaking Board has launched its“innovation sandbox” which intends to enhance the use of data already available through EMMA.

Hammerman has spent more than 18 years with the group, participating in a number of important policy discussions about munis.

The Internal Revenue Service and Department of the Treasury have released final guidance on the transition away from Libor, designating SOFR as an alternative rate.

The Municipal Securities Rulemaking Board is seeking comment on environmental, social and governance factors practices in the municipal securities market.

The Securities and Exchange Commission has charged an Illinois-based broker with defrauding three investors out of $800,000 by luring them into investing in nonexistent tax-exempt bonds.

The Municipal Securities Rulemaking Board’s new report on the use of internal and external liquidity in the municipal bond market shows that for transactions under $100,000 external liquidity has steadily increased since 2011.

The Municipal Securities Rulemaking Board will begin accepting applications for two public and two regulated representatives to join its 15-member board.

The tax on unrealized capital gains would be straightforward for securities that trade frequently, but less so for less-frequently traded assets like many munis.

The proposed guidance does not indicate any particular problems with compliance, the MSRB said.

The firm’s distribution capabilities across major and mid-size institutional accounts, professionally managed retail accounts, and high net worth individual accounts is a throwback to founder Archibald Bullock Roosevelt’s vision.

A huge investment in technology dominates the MSRB's budget.

The settled proceeding against Anthony Falsetta, announced Tuesday, is the latest in a string of SEC cases targeting violations of retail order periods.

The trouble stems from a West Virginia tender offer deal Crews & Associates recommended to an issuer.

At stake, from SIFMA's perspective, is the potential of the SEC to revive the exemption in the future.

The board will have 15 members for its fiscal year starting Oct. 1.