Regulation and compliance
Regulation
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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 -
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















