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Bond Dealers of America sent the SEC a long list of requests to limit municipal advisors' roles in private placements.
January 29
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Coxswain's organizational restructuring expertise pairs well with UFI's financial planning acumen, the firms said.
January 28
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The board is considering whether it should allow dealer-affiliated municipal advisors to count towards the MA board seat requirement on a smaller board.
January 28
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The Municipal Securities Rulemaking Board's assets dropped by $8.5 million.
January 10
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Some smaller firms are deciding to qualify more than half of their municipal advisor principals as a sort of backup plan.
January 7
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The Securities and Exchange Commission plans to focus on protecting Main Street investors in municipal bonds.
January 2
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Events at the SEC are likely to create a number of important MSRB rule changes in the coming year.
December 26
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The proposal would impact the private placement business and may require amendments of MSRB rules.
December 10 -
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.
December 5
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Securities and Exchange Commission Chair Jay Clayton seemed noncommittal on a proposed exemptive order for municipal advisors.
November 19
