Regulation and compliance
Regulation and compliance
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Morgan Stanley, Ameritas Investment Company LLC and a former Stifel broker agreed this week to pay the fines for violating multiple muni securities rules.
March 26 -
First Manhattan Co. bought municipal securities from an unaffiliated dealer without making a reasonable effort to obtain fair and reasonable prices, FINRA said.
March 25 -
Arlene Bohner has been named Fitch's head of U.S. public finance and will report to Laura Porter.
March 24 -
The Supreme Court is poised to decide the Texas governor's quest to end the federal program that provided millions of Americans access to health insurance.
March 16 -
Controversy over state borrowing levels and how to backstop COVID-19 measures surrounded a two-year, $4.7 billion bond authorization bill that Gov. Ned Lamont signed.
March 16 -
Perhaps most important, nobody involved in this issue has argued that issuers or anybody else would benefit in any way from exempting MAs from appropriate regulation.
March 13 -
Congressional offices may decide to minimize or ban face-to-face meetings as virus concerns grow.
March 11 -
NAMA believes the order will strengthen protection for issuers in keeping with the recent reforms in the municipal market.
March 11 -
Sources say action on the SEC's proposed exemptive order has slowed, though it could garner attention at next week's conference.
March 5 -
Cash-flow struggles amid sharp tuition revenue declines the past few years placed the Philadelphia private college on the verge of another credit downgrade one year after its rating was dropped into low investment grade territory.
March 5 -
Tourism represents 17% of Hawaii's economy.
March 5 -
Health care facilities have a high risk of cyberattacks compared to medium low risk for local governments and school districts, according to Moody’s
March 3 -
SCE&G, and former SCANA executives, violated securities laws while overseeing the defunct V.C. Summer project, the SEC said.
February 28 -
The new committee of volunteers will be tasked with helping shape the future of EMMA.
February 27 -
The city's sustained financial health is attracting private investment and enabling it to fund neighborhood infrastructure needs, Mayor Bill Peduto said.
February 26 -
Moody's cited stable financial operations and adherence to a recovery plan in Connecticut's capital.
February 26 -
Small Catholic college downgraded to Baa2 on enrollment pressures and a heavy reliance on tuition revenue.
February 24 -
Walter told The Bond Buyer she has been hearing the same push for transparency since her start at the SEC.
February 24 -
The SEC said that the timeliness of disclosures is a “major challenge” in the secondary market for municipal securities.
February 19 -
The investigation had appeared likely to be tied to a fraud case involving the New York State Common Retirement Fund.
February 18












