Regulators found Stifel effected 56 pairs of pre-arranged transactions and the firm did not have a supervisory system reasonably designed to catch that activity.

The New York City suburb achieved record low interest rates for a more than $40 million bond transaction following a credit upgrade that reflected its recent fiscal discipline.

One example of the growth of the industry is the nearly tenfold increase in Colorado’s marijuana tax revenue to $250.7 million in 2018 from $25.3 million in 2014.

A judge ruled Monday that the facts of the case supported a finding the defendants broke the law.

Sharp revenue losses caused by the pandemic triggered a negative credit outlook for Long Island’s Nassau County as it prepares to roll out a new fiscal plan to combat a budget hole.

The California Supreme Court ruled July 25 in a pension spiking case with ramifications for the state's ironclad pension legal doctrine.

Changes to the MSRB come a year after the proposal of legislation that would decrease the size of the board and increase the cooling off period for public board members.

Marshall will still keep her position as chief compliance officer as she also takes on the role of interim chief regulatory officer. Lanny Schwartz left his position as chief regulatory officer almost a year ago.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.

The three-month extension for the central bank's lending programs is one of several recent steps by policymakers to stabilize the economy as the coronavirus pandemic stretches through the summer.

In a virtual meeting, the board will set its budget, but won't select an incoming class of board members, because of a proposed size change.

This is the latest case to involve 'flipping' — improperly allocating bonds meant for retail customers and instead selling them to other market participants — following multiple related actions made by the SEC over the years.

The study provides the first rigorous quantitative evidence supporting the widely held belief that the municipal bond industry benefits from the classification.

VRDO reset rates in California consistently were too high to be justified, a new filing contends.

Several groups are arguing their case to keep their seats on a smaller board.

S&P moved Michigan's outlook to negative this week. Fitch recently affirmed the state's stable outlook.

Rolette County affirmed its commitment to make a July jail lease payment as Moody's reviews the impact of the temporary jail closure on the county's books.

Conditions under a recently announced temporary exemption are narrow, SEC staff said, despite push back from dealers.

Washington State pulled a note deal after a glitch resulted in two-thirds of bidders not seeing a couponing instruction.

BNY Mellon Capital Markets failed to submit accurate minimum denomination and maximum interest rate information 54,270 times, FINRA found.