Regulation and compliance
Regulation and compliance
-
The government shutdown limits the SEC's ability to answer issuers' questions on continuing disclosure requirements that take effect Feb. 27.
January 10 -
SALT deduction limitations have heightened sensitivity to the property tax, an issue both complicated and visceral. Paul Burton and John Hallacy host.
January 8 -
Treasury is requiring both more and less specificity in the public approval process for private activity bonds.
January 8 -
Emily Brock, director of GFOA’s federal liaison center, said restoration of advance refundings and increasing the limit on bank qualified debt to $30 million also are among the legislative priorities for 2019.
January 7 -
Municipal enforcement cases including SEC vs. Dwayne Edwards are among those that have been halted.
January 7 -
The Municipal Securities Rulemaking Board is looking to fill five spots for its Board of Directors, important roles influencing the municipal market.
January 7 -
So-called prearranged trading has the potential to do harm to the muni market and land broker-dealer firms in trouble, according to new MSRB draft guidance.
January 4 -
The Legislative Analyst's Office says the shift of the takeover role from the state to the county may weaken oversight.
January 4 -
Only five priorities remain on the Treasury and IRS work plan in 2019 for the municipal bond market.
January 3 -
The Federal Register publication of the finalized PAB regulation takes effect April 1, but part of it can be implemented by issuers immediately.
January 2 -
In its 28-page financial report released Wednesday, the board reported that its net assets increased by over $4.3 million.
January 2 -
The team rejected a proposal for a $900 million Major League Baseball ballpark in Tampa and plans to remain at Tropicana Field in St. Petersburg through 2027.
January 2 -
After a difficult 2018 draws to a close with the U.S. government in shutdown and municipals reeling from a tax law that lowered the value of the tax exemption and took away a key refinancing tool, here’s a list of changes we’d like to see in the coming year.
December 31 -
A Jan. 22 hearing has been set at which time a judge may order Dwayne Edwards to disgorge $766,850 plus interest and pay civil penalties.
December 27 -
The SEC has signaled a focus on pay-to-play and disclosure fraud.
December 27 -
Ex-Morgan Stanley broker Ami Forte made national headlines after allegedly violating multiple municipal securities and other rules, the Financial Industry Regulatory Authority found.
December 26 -
Muni regulators are expected to slow the pace of new rulemaking and focus on enforcement in 2019, with an emphasis on continuing disclosure.
December 26 -
The SEC announced the settlement with former UBS broker Chris Rosenthal, the biggest yet from its ongoing flipping investigation.
December 21 -
The anticipated Series 54 Test outline was released Thursday afternoon and municipal advisors can now start prepping.
December 20 -
Moody's upgraded Paulding County. Ohio, to Aa3.
December 20













