Regulation and compliance
Regulation and compliance
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Sen. John Kennedy introduced the bill in April, and is attempting to move it forward. It would overhaul MSRB board membership rules, particularly for members representing the public.
July 12 -
The monitorship plan will extend until Sept. 13 for seven assisted living facilities he is trying to liquidate.
July 11 -
S&P's outlook bump of Hartford's junk rating to positive from stable represents a validation of financial recovery efforts, Mayor Luke Bronin said.
July 11 -
The Chicago-based firm adds to the dealer group's voice as it pushes for muni policy measures that have been stalled for years.
July 10 -
Allison Herren Lee is short on direct municipal market experience, but has a well-rounded background as a securities lawyer.
July 9 -
Poor returns piled another $2 billion onto Chicago's pension tab, but it won't add to the already $280 million contribution spike looming next year, according to its new CAFR.
July 8 -
Three-quarters of New York subway stations are inaccessible to wheelchair users, who must fight for funds to install elevators and other upgrades.
July 5 -
Both BDA and SIFMA have now both asked the SEC not to grant regulatory relief to PFM, one of the largest municipal advisors in the business.
July 2 -
The SEC approved the changes to Rule G-11 on primary offerings and Rule G-32 on disclosures in connection with primary offerings late last week after a two-year review process by the MSRB.
July 1 -
Investors will still lose big as the SEC's case against Dwayne Edwards and Todd Barker is now all but over.
July 1 -
Investor confusion about Harvey, Illinois, and a local library district contributed to a municipal advisor and broker-dealer facing Securities and Exchange Commission charges in a bond offering gone wrong.
June 28 -
Investors are likely to lose millions whether the Atlanta-based financier continues under a court-appointed monitorship or not.
June 26 -
A PFM letter caused a firestorm among dealer groups who say that if municipal advisors want to engage in broker-dealer activities, they need to register as such.
June 24 -
Brogdon's high personal spending and failure to sell his assets spell an end to the usefulness of his repayment plan, the SEC told a federal judge.
June 21 -
The new events became effective in late February, and hundreds of Event 15 disclosures have filed in, with just a handful of Event 16 filings.
June 20 -
A recent NABL webinar reminded the market that MAs can face liability under anti-fraud provisions of the Securities Exchange Act.
June 20 -
A judge's decision looms for men accused of bilking the Connecticut Municipal Energy and Electric Cooperative, which got good news from Fitch Ratings last week.
June 19 -
State and local governments and trade groups have until Sept. 13 to submit comments on the 48-page exposure draft GASB released June 13.
June 18 -
The judge ruled for Peter Cannava, who had denied wrongdoing even after Wells Fargo and other defendants settled charges.
June 12 -
Water, health care and housing lead the agenda in budget discussions.
June 10















