Regulation and compliance
Regulation and compliance
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The Securities and Exchange Commission will discuss voluntary disclosure and buy-side perspectives among other topics in March.
January 24 -
The state sold tax-exempt refunding debt at 2019 rates but won't deliver them until 2021 when the call date of the original bonds is reached.
January 23 -
The Securities and Exchange Commission wll work with the market to change secondary disclosure habits without a mandate, issuers and analysts said.
January 22 -
Sources say Hopper has considerable experience with municipal securities in her many years at the Financial Industry Regulatory Authority.
January 17 -
Nicole Byrd, a senior investment professional at Nationwide Mutual Insurance, will be the National Federation of Municipal Analysts chair for the next year.
January 17 -
An increased debt load compared with its peer schools drove a downgrade to Barnard College ahead of a new borrowing.
January 16 -
The board will, among other things, review comments on a proposed order that would allow municipal advisors to participate in some private placement activities.
January 15 -
The median time it takes for municipal bond borrowers to complete their annual audits was 156 days for fiscal 2018: equal to the slowest time in the past 11 years.
January 15 -
Atlantic City’s recent fiscal progress under state control provided a lift for two municipal issuers tied to the Jersey Shore gambling hub.
January 14 -
The Municipal Securities Rulemaking Board's assets dropped by $8.5 million.
January 10 -
At issue is the so-called "public disclosure bar," which prevents a whistleblower from pursuing a lawsuit based on publicly available information.
January 10 -
An SEC advisory committee recommended allowing investment advisers affiliated with broker-dealers to offer and sell negotiated new issue muni bonds during the order period that the dealer also participates in.
January 10 -
The Financial Industry Regulatory Authority released its annual Risk Monitoring and Examinations Priorities letter Thursday.
January 9 -
Dealer groups want the SEC to examine broker-dealers and municipal advisors equally.
January 8 -
The Financial Accounting Foundation abandoned its tradition of selecting a state auditor to chair the Governmental Accounting Standards Board.
January 7 -
Some smaller firms are deciding to qualify more than half of their municipal advisor principals as a sort of backup plan.
January 7 -
The Lincoln-Way high school district won a Moody's upgrade to Baa2 ahead of a $23 million refinancing deal.
January 3 -
The Securities and Exchange Commission plans to focus on protecting Main Street investors in municipal bonds.
January 2 -
The investigation appears to be linked to the supervision of Deborah Kelley, a broker who was convicted and sanctioned for bribing a state pension fund officer.
December 31 -
The new alternative reference rates cited by Treasury and the IRS include the Secured Overnight Financing Rate (SOFR) published by the Federal Reserve Bank of New York and the Federal Funds Rate.
December 27
















