Regulation and compliance
Regulation and compliance
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To win a summary judgment, a party to a lawsuit must show that there is no factual dispute at issue and that the facts of the case can only support a finding in that party’s favor.
April 29 -
Two executives for the failed Tri-Valley charter schools agreed to pay $20,000 and $15,000 to settle charges of misleading municipal bond investors.
April 28 -
Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.
April 28 -
For the second time in two weeks, a rating agency lowered the Port Authority of New York and New Jersey's outlook.
April 27 -
At a virtual quarterly board meeting this week, the board discussed its search for the next CEO, which has been affected by the virus.
April 24 -
Nevada was one of the last states to recover from the Great Recession
April 24 -
A federal judge denied the SEC's motion for summary judgement against John Paulsen, setting the stage for a trial.
April 24 -
The historic nature of how ratings for municipal issuers play out in times of severe volatility is under scrutiny from various market participants.
April 23 -
Issuers say Clayton’s comments on corporate disclosure from earlier this month can be applied to municipal disclosure.
April 23 -
Mayor Eric Garcetti announced plans to furlough thousands of city employees because of coronavirus-driven shortfalls.
April 20 -
The MSRB's proposal to implement a more strict standard for public board members would impede the recruitment of qualified candidates, ICI said.
April 17 -
New York's mayor announced sharp cuts, a draw on reserves and a call for further assistance from Washington.
April 16 -
Michael Rowan, CFA, managing director of global public, project and infrastructure finance at Moody’s Investors Service, talks about how COVID-19 is affecting the rating process. John Hallacy hosts.
April 16 -
The board will "review the MSRB’s organizational response to the COVID-19 pandemic, including measures to ensure the safety of staff and stakeholders."
April 15 -
The MSRB wants to give dealers and muni advisors more time to implement amended rules and interpretive guidance as well as finish professional qualification and supervisory requirements.
April 13 -
Moody's Investors Service revised the Pennsylvania regional health system to negative citing revenue risks from COVID-19.
April 8 -
Marshall Medical Center in Placerville was cut to BB-plus.
April 7 -
The central bank is creating a facility to provide financing to banks participating in the Small Business Administration’s Paycheck Protection Program.
April 6 -
So far there have been over 200 COVID-19-related disclosures, according to Diver by Lumesis, a financial technology company.
March 31 -
Banks failed to convince the court that the lawsuit doesn't meet the legal hurdles for a false claims action.
March 31


















