Regulation and compliance
Regulation and compliance
-
Market-moving developments should keep Puerto Rico securities very actively traded for months to come.
August 5 -
Officials say the guidelines 'memorialize' the extensive debt management constraints under state and local laws, and the city's fiscal objectives.
August 5 -
The SEC and Bank of Oklahoma differ in what they want a federal judge to do next in the Christopher Brogdon case, though both claim to have investors' best interests at heart.
August 5 -
FINRA settled with two parties after they violated MSRB Rule G-17 by whiting out dates and failing to disclose a $2 million fee up until an issuance.
August 2 -
SEC Chair Clayton’s comments that information on EMMA is subject to more scrutiny could be true for some participants depending on issuers’ reliance on the MSRB site.
August 2 -
The state auditor raised questions about how the state controller reported California's OPEB liability in the report, which took 11 months to release.
August 1 -
The complaint filed by Philadelphia and Baltimore fails to rise to the level of specificity needed to prove conspiracy, Wall Street banks told a federal judge.
July 31 -
The new law lowers contribution rates for some agencies and allows them to opt out of the worst-funded pension plan in the country.
July 31 -
The National Association of Municipal Advisors wants SEC staff action to protect MAs and possible eventual rulemaking to create "regulatory parity" between MAs and broker-dealers.
July 30 -
Clayton noted a trend of issuers being advised that information they supply on EMMA is subject to more anti-fraud scrutiny than information provided in other ways.
July 29 -
At its quarterly board meeting last week, the MSRB decided to do away with Rule G-34’s provision that all municipal advisors, whether dealer or non-dealer, have to apply for a CUSIP number in competitive sales.
July 29 -
GFOA is putting together a working group to address concerns about continuing disclosure in the municipal market, a topic increasingly discussed among stakeholders.
July 26 -
Prominent muni market figures will discuss the content and timeliness of disclosure at an SEC committee meeting next week.
July 25 -
Moody’s has acquired a majority stake in Four Twenty Seven, a provider of data and analysis on climate risks.
July 24 -
The MSRB filed proposed Rule G-17 interpretive guidance to the SEC on Tuesday, aiming to streamline underwriters' disclosures to issuers.
July 23 -
The report came in advance of a three-day MSRB board meeting on options to enhance transparency and educate investors.
July 19 -
Louisiana Sen. John Kennedy is joined by Alabama Democrat Doug Jones on a bill to reshape the MSRB board.
July 18 -
Registered advisory firm Dale Scott & Co. will pay $25,000, and one firm and one individual each will pay $10,000 for acting as unregistered solicitors.
July 16 -
The Long Island township is emerging from the cloud of SEC scrutiny.
July 15 -
The MBSB and the Muni Forum of N.Y. is hosting the 2019 Urban Leadership Fellows for a “Municipal Finance Day” on Monday.
July 15

















