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The list of regulations coming into effect next year, as well the expected Supreme Court decision on how the SEC uses its enforcement powers is paving the way for a landmark year.
December 27 -
Bond Buyer Executive Editor Kyle Glazier discusses the coming year in D.C. with Bond Dealers of America's Brett Bolton. (15 minutes)
December 26 -
The Municipal Securities Rulemaking Board's request for comment on Rule G-12(c) on inter-dealer confirmations should eliminate the provision altogether as many of its applications have been rendered obsolete.
December 18 -
The board is asking market participants to submit input on how their rules and practices generally impact small firms.
December 4 -
Knoxville, Tennessee-based Home Financial Services failed to disclose execution time, mark ups and mark downs to customers on municipal securities transactions, FINRA said.
November 13 -
The board expects to have FY 2024 fees filed with the Securities and Exchange Commission before Dec. 1.
October 27 -
New York-based Odeon Capital failed to report approximately 225 municipal securities transactions to RTRS over a two and a half year period.
October 23 -
The Municipal Securities Rulemaking Board will meet Oct. 25-26 to hold its first meeting of FY 2024.
October 18 -
The Municipal Securities Rulemaking Board's FY 2024 budget represents a 4.8% increase over the prior fiscal year.
October 2 -
This fiscal 2024 report provides a closer look at the stewardship of our reserve funds and how we plan to allocate technology resources in the year ahead to deliver value to our stakeholders.
October 2Municipal Securities Rulemaking Board