Regulation and compliance
Regulation
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Much of the material being retired dates back more than 35 years.
February 12 -
From ESG to infrastructure, regulation to legislation, SIFMA's President and CEO Ken Bentsen and Managing Director and Associate General Counsel Leslie Norwood discuss what SIFMA members are prioritizing on Wall Street and in Washington when it comes to munis. Lynne Funk and Kyle Glazier host. (34 minutes)
February 11 -
Dealers say increased focus on systemic pennying has decreased its activity, while others aren't so sure.
February 3 -
The reduction would be the largest the MSRB has done, substantially more than a previous one which caused a loss of $5.2 million.
January 29 -
Come away better prepared for what’s ahead after hearing Satish Kini and David Sewell of Debevoise & Plimpton and Darin Jarrett, Deputy BSA/AML Officer at American Express, in conversation with Bonnie McGeer, Executive Editor of American Banker, as they explore: •How the new administration might change the BSA/AML Act •Are there easy wins in relieving the burden of suspicious activity reports without undermining effectiveness? •New ways that companies are innovating within AML compliance and risk •What banks are doing to drive next-gen efficiency and effectiveness of risk and compliance
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Since a temporary exemption allowing muni advisors to facilitate certain private placement deals expired, a federal court cannot strike it down, the SEC argued.
January 26 -
A federal judge agreed with the SEC that the Chicago suburb must prove the status of reforms agreed to in settling allegations the city misused bond proceeds.
January 21 -
This will be MSRB’s first board meeting of the calendar year.
January 21 -
The income gap between the state's wealthier and poorer residents grew wider during the pandemic.
January 19 -
A handful of government representatives will give advice on 529 plans in the MSRB's Municipal Fund Securities Advisory group.
January 19 -
His experience as an active regulator as head of the Commodities Futures Trading Commission may transfer to his new post.
January 13 -
Dealers said the pandemic has highlighted the challenges of outdated rules and the need to modernize them.
January 12 -
S&P said the upgrade reflected the stability and resiliency of pledge revenues while it also looked closely at environmental, social and governance factors.
January 8 -
A judge said that the lawsuit filed on behalf of California accusing major banks of colluding to inflate VRDO interest rates did not allege the means of the conspiracy.
January 8 -
Federal CARES Act grants and loans, and bond market access, have helped mitigate the financial damage to hospitals caused by the pandemic.
January 7 -
Robbi Jones, principal at Kipling Jones & Co., received that ruling on appeal from FINRA’s National Adjudicatory Council late last month.
January 4 -
Sources say pricing of bonds will be a prevalent issue in 2021 following comments made by bipartisan SEC commissioners.
January 4 -
The default-ridden Chicago suburb says the court's action to give it back control of its water operation could aid its 2021 objective of restructuring debt.
December 31 -
The Treasury and IRS have only granted a few of the National Association of Bond Lawyers' requests for pandemic-related regulatory relief.
December 31 -
Lincoln Way school district in suburban Chicago moved further back up the investment grade ladder with a Moody's Investors Service upgrade.
December 30



















