Regulation and compliance
Regulation and compliance
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The Municipal Securities Rulemaking Board is reviewing its size and the composition of its board, and projects an operating deficit for the coming year.
September 24 -
The 28 members of The Bond Buyer's 2019 Rising Stars class are taking on the evolving challenges of the muni market with technology and entrepreneurial zeal.
September 23 -
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Montebello Unified School District allegedly defrauded investors in the sale of $100 million in general obligation bonds.
September 19 -
The New York-based firm mismarked 90% of its municipal securities trades, FINRA found.
September 19 -
The cloud-based debt management and reporting service hired Mark Campbell as head of western region client management.
September 17 -
The Municipal Securities Rulemaking Board doubled professional fees for municipal advisors last week.
September 17 -
The state will encounter budget gaps in the following two years, according to a new long-range revenue forecast.
September 13 -
A new legal bulletin was requested by SEC Chair Jay Clayton after he observed lawyers noting that some platforms put financial disclosure under more scrutiny.
September 13 -
At a bond lawyer conference, lawyers said they've seen increased interest in self-reporting.
September 12 -
The fifth-generation banker, who has already been serving as a central bank governor, was confirmed by the U.S. Senate in a 60-31 vote.
September 12 -
“The City of Harvey, through no fault of Comer’s and unrelated to Comer’s fiduciary obligations, tainted the district’s offering,” according to the defense.
September 12 -
Rich Moore takes over the top spot at NABL during the first day of a three-day annual conference in Chicago.
September 10 -
This is the second letter BDA has sent to the SEC in the last couple of months opposing any kind of relief for muni advisors involved in private placements.
September 10 -
The MSRB announced Monday that Post will be a “senior advisor” through the end of the month, when the board’s fiscal year ends.
September 9 -
State and local governments are providing more transit funding than they have before, offsetting some of the ridership woes.
September 5 -
Some say a case announced yesterday echoed one last year where traders allegedly lied to get priority in their orders for newly-issued bonds.
September 4 -
The FBI probe and churn in upper management may make future rate increases a tough sell, S&P analysts said.
September 4 -
Thomas Muldoon should properly have placed his orders as dealer stock orders, the SEC found, but instead asked representatives to submit them as retail orders.
September 3 -
“A highly sophisticated frequent issuer may not need the same disclosures as a less sophisticated infrequent issuer,” the trade association for underwriters told the SEC.
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