In the SEC inquiry, along with a separate FAA investigation, regulators are trying to determine if airport revenues were misspent.

Municipal market participants got some comfort about their fraud liability if they act in good faith on interim financial disclosures.

After getting national attention for allegedly swindling millions from a disabled billionaire client, brokers Ami Forte and Charles Lawrence have been barred from the industry.

Issuers will be looking to see what Securities and Exchange Commission Chair Jay Clayton says about disclosure.

The Securities and Exchange Commission issued a non-public letter to the city of Atlanta last week, prompting a possible investigation into its airport.

The dealer entered into two municipal bond orders into a recently deceased customer's account.

Public safety and jail bonds, sinking fund overfunding and variable rate bonds are the top IRS compliance and enforcement priorities for the municipal bond market in fiscal 2020.

The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.

Years after the Securities and Exchange Commission enacted a rule to require floating net asset values, finance officers are fighting the legislative malaise to try to undo it.

Just in time for its $1.4 billion bond sale, California received a holiday present from Moody’s.

Moody's lifted California to Aa2 ahead of plans to sell $1.1 billion of general obligation bonds.

The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.

Also revealed is the addition of longtime NABL member Perry Israel to the Edelweiss Fund legal team.

MSRB Chief Education Officer Ritta McLaughlin will be the fifth senior official to leave the MSRB in the last couple of months.

Though many participants were pleased with changes the Municipal Securities Rulemaking Board has proposed for its fair dealing guidance, some worried about new compliance expectations.

Planning for the next recession is extremely difficult. Is there any real way to do so?

The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.

Administrative failures or a lack of understanding of the rule may be to blame.

Municipal advisors can begin taking their principal exams in November.

The Securities and Exchange Commission is seeking comment on exemptive relief for municipal advisors in some activities in private placement deals, eliciting fierce resistance from broker-dealer groups.