Regulation and compliance
Regulation and compliance
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The Securities and Exchange Commission agreed to settle with Oyster Bay, New York, and are awaiting a district court judge's approval.
June 10 -
In a Friday letter, NABL has only four suggestions for the IRS 2020 priority guidance plan on regulatory issues involving the tax-exempt bond industry, half as many as it did a year ago.
June 7 -
The new money ordered Wednesday comes from the SEC’s settlement with Brogdon Family LLC (BFLLC), a separate legal entity controlled by the former nursing home developer.
June 6 -
New York City Comptroller Scott Stringer received several awards for excellence in financial reporting.
June 6 -
On Wednesday, the SEC approved the final rule 3-1, with Commissioner Robert Jackson voting against the rule.
June 5 -
Abonamah will oversee the municipal securities office's strategic initiatives in his new role.
June 4 -
In late May, the MSRB enhanced its search functionality on its Electronic Municipal Market Access site (EMMA) by implementing an algorithm that allows for predictive searching.
June 3 -
The amended lawsuit references inside sources who allegedly confirm that the banks worked together in violation of antitrust law.
June 3 -
State Controller Betty Yee blames the state's new digital accounting system for delaying the comprehensive annual financial report.
May 31 -
The rule will take effect 30 days after publication in the Federal Register, which usually takes about three business days.
May 31 -
Gov. Ned Lamont and Connecticut lawmakers are studying a proposal to essentially exchange much of the state’s income tax for a payroll tax.
May 30 -
Some stakeholders say the CUSIP requirement for MAs is needed, while other say it is burdensome.
May 28 -
The financier's lawyers disputed a court-appointed monitor who had criticized him for maintaining an expensive lifestyle while his investors faced losses.
May 28 -
National Association of Bond Lawyers President Dee Wisor and President-elect Rich Moore discuss infrastructure, regulation, tax law and the group's educational efforts. Kyle Glazier hosts.
May 28 -
State Treasurer Joe Torsella is accusing 14 financial firms of collaborating to illegally inflate the prices of Fannie Mae- and Freddie Mac-issued bonds.
May 24 -
J.W. Korth & Co. was found to have charged excessive markups in 38 sales of municipal securities.
May 23 -
Adding $374 million alleged in New York to the three other cases also filed by Johan Rosenberg brings the total damages claimed to $1.58 billion.
May 22 -
Among the topics on the plate for Laura Porter, Fitch Ratings' new head of public finance, are complex credits, special revenue legal focus and ESG factors and scoring. Porter believes there are still opportunities in this market and has the team to assist in these efforts. John Hallacy hosts.
May 21 -
The MSRB is requesting comment on whether Rule G-23 is still relevant and whether it helps the MSRB achieve its objectives of protecting issuers and investors.
May 20 -
Municipal Securities Rulemaking Board Chair Gary Hall said the MSRB will examine governance rules such as the time period between when individuals leave their industry jobs and when they are allowed to become public board members.
May 19














