Regulation and compliance
Regulation
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The SEC now has a stronger card to play when pursuing an enforcement case, lawyers said.
April 3 -
Cannava argues that emails, witness statements, and other evidence cast doubt on the SEC's claims that he acted recklessly.
April 2 -
Former college official Keith Borge was charged Thursday with defrauding municipal securities investors and concealing the school’s crumbling finances.
March 29 -
Capital Finance Director David Erdman emphasizes that the Wisconsin's bills and debt service will be paid even if the state budget is late.
March 28 -
The addition of the conservative pundit could signal the Trump administration's intent to have a more direct hand in central bank policies, yet Moore could experience his own transformation as a Fed governor.
March 28 -
A former municipal advisor accused of billing a city thousands of dollars for services it did not receive is now facing criminal fraud charges.
March 28 -
Ahmed Abonamah, a senior counsel to the director in the SEC’s Office of Municipal Securities, told the National Muni Bond Summit SEC Chair Jay Clayton has concerns about the timeliness of issuers’ financial information disclosure.
March 27 -
The lawsuit filed in federal court is now the second national suit alleging fraud in the variable-rate debt market.
March 27 -
Mid-size issuers may be experiencing the greatest impact, with one municipality even reporting that an underwriter withdrew a bid over a disclosure requirement.
March 26 -
A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.
March 25 -
Glitches in California's electronic financial system are delaying annual financial reporting documents, said Controller Betty Yee.
March 22 -
The MSRB plans to roll out changes to simplify the submission process on EMMA.
March 22 -
The new amendments would increase transparency and equal access to information, the MSRB said.
March 21 -
Longtime muni lobbyist Michael Decker will now have a working relationship with Bond Dealers of America.
March 21 -
Our guest, Eden Perry, the new head of public finance at S&P, describes her vision of the rating agency's role and her goals for her tenure. Criteria changes, surveillance, multi-notch downgrades, and diversifying the staff are all front and center. John Hallacy hosts.
March 19 -
While associated with J.P. Morgan, a broker allegedly cheated on her Series 52 exam, violating FINRA Rule 2010.
March 19 -
It's a critical moment in the municipal bond market, and participants need to embrace change with a stronger voice in Washington and beyond.
March 19 -
Banker Peter Cannava may be left to battle on alone, after the Securities and Exchange Commission and Wells Fargo told a federal court they have an agreement.
March 19 -
Former Macon-Bibb County Manager Dale Walker agreed to settle charges he gave an advantage to an investment adviser the SEC said he was pursuing romantically.
March 18 -
Underwriting, transaction and technology fees will be reduced during a six-month period.
March 15















