Regulation and compliance
Regulation
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In the SEC inquiry, along with a separate FAA investigation, regulators are trying to determine if airport revenues were misspent.
October 24 -
Municipal market participants got some comfort about their fraud liability if they act in good faith on interim financial disclosures.
October 22 -
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.
October 21 -
Issuers will be looking to see what Securities and Exchange Commission Chair Jay Clayton says about disclosure.
October 18 -
The Securities and Exchange Commission issued a non-public letter to the city of Atlanta last week, prompting a possible investigation into its airport.
October 17 -
The dealer entered into two municipal bond orders into a recently deceased customer's account.
October 17 -
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.
October 16 -
The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.
October 16 -
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.
October 16 -
Just in time for its $1.4 billion bond sale, California received a holiday present from Moody’s.
October 15 -
Moody's lifted California to Aa2 ahead of plans to sell $1.1 billion of general obligation bonds.
October 15 -
The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.
October 15 -
Also revealed is the addition of longtime NABL member Perry Israel to the Edelweiss Fund legal team.
October 15 -
MSRB Chief Education Officer Ritta McLaughlin will be the fifth senior official to leave the MSRB in the last couple of months.
October 10 -
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.
October 9 -
Planning for the next recession is extremely difficult. Is there any real way to do so?
October 9 -
The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.
October 9 -
Administrative failures or a lack of understanding of the rule may be to blame.
October 7 -
Municipal advisors can begin taking their principal exams in November.
October 4 -
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.
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