Compliance

Survey found risky behaviors and indications of vendor favoritism.

Municipal bond market experts want clarification from the IRS on a few regulations and expect the agency to move ahead with its new data driven audit process.

The pioneer in electronic muni data celebrated its 25th year with a new product that addresses the market's need for best execution.

First on the list is an infrastructure plan we can embrace fully – with clearly identified and unencumbered revenue streams from the Federal level.

SEC rules provide municipal advisors an opportunity strengthen their bonds with issuer clients.

Issuers need to take steps to ensure their new issue disclosures are correct and that their filings are timely, accurate and comprehensive.

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.