Regulation and compliance
Regulation and compliance
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"Ultimately, this report is essential because member firm compliance protects investors and safeguards the integrity of our markets," FINRA's Greg Ruppert said.
December 9 -
SRI International had its outstanding bonds downgraded to Baa1 because of its exposure to declining federal grants.
December 5 -
FINRA found that the firm failed to include the non-transaction-based compensation indicator when reporting 12,066 municipal securities transactions.
December 5 -
"The Nominating Committee's goal is to achieve broad representation of the municipal securities market on the MSRB Board of Directors," the committee's chair said.
December 4 -
"The county will file an appeal," Suffolk County said in the Dec. 1 EMMA filing.
December 3 -
King County, Washington plans a $422.2 million competitive sale of limited tax general obligation bonds for Wednesday.
December 1 -
Moody's cited narrowing financial flexibility and declining debt service.
November 26 -
Moody's Ratings has put McLaren Health Care Corporation's A1 revenue bond ratings under review for downgrade after Indiana ended a key Medicaid contract with the company.
November 26 -
Oakland touts financial turnaround with a $335 million bond sale ahead, despite negative credit outlooks.
November 25 -
Nearly a trillion dollars worth of state and local government assets are now being held in Local Government Investment Pools.
November 25 -
Moody's cited prospects for reduced operating deficits, generally stable enrollment and strong philanthropic support.
November 24 -
"What we plan to tell the SEC is that municipal securities in general shouldn't be subject to Reg. AB," BDA's Michael Decker said.
November 21 -
The $6.3 billion all-funds budget was amended in the wake of the Nov. 4 defeat of a property tax rate increase that would have raised $109.5 million in revenue.
November 21 -
Fippinger teamed up with co-authors Peg Henry and Ernesto Lanza for "The Securities Law of Public Finance (Fourth Edition)."
November 20 -
After terminating the project in September, the council approved an initial deal with a new contractor team to develop design and construction options.
November 19 -
A state audit of the Houston-based HBCU that identified financial issues led the governor to direct state agencies to launch an investigation.
November 13 -
The decline in muni enforcement actions is part of a broader trend at the SEC.
November 12 -
The Texas city could revisit plans for a desalination project to boost its dwindling water supply with the city council scheduled to consider it next week.
November 12 -
The Treasury secretary highlighted the impacts the bond market has on affordability and previewed regulatory tweaks the administration is eyeing to keep yields stable and credit flowing.
November 12 -
Federal Reserve Bank of Atlanta President Raphael Bostic won't seek reappointment following the end of his current term on Feb. 28, 2026.
November 12

















