Regulation and compliance
Regulation and compliance
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The outlook change to negative comes in the wake of voter approval on Nov. 5 of a ballot measure requiring certain public safety spending by the city.
November 15 -
Rudy MeJia Jr. has been fined and given an eight-month suspension from associating with any FINRA member firm for failing to disclose that he opened a private investment pool and was receiving commission for sales on behalf of it.
November 13 -
The board has launched the new Technology Advisory Group and relaunched the Compliance Advisory Group and is seeking volunteers for both.
November 12 -
The upgrade affects most but not all of MEAG's outstanding bonds.
November 4 -
A rule change allowing non-profits to cash in green energy credits presents both opportunities and challenges.
November 4 -
The increase in the muni market's size, number of novel credits and retail investors suggest it's "finally time" for direct SEC regulation, argue market veterans Kent Hiteshew and David Dubrow.
November 1 -
Municipal advisor Hamlin Capital Advisors and Michael Ferrell Braun have been charged by the SEC for failing to disclose material conflicts of interest to its charter school clients.
October 28 -
The Municipal Securities Rulemaking Board held its first board meeting over Oct. 23-24, where it approved a number of rule proposals and requests.
October 25 -
Geography is playing a role in financial health as debt issuance rises.
October 24 -
Market participants warned of the law's potential harm to a market that's famously bespoke and self-regulated.
October 23