Regulation and compliance
Regulation
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Rules governing financial advisory relationships and CUSIP numbers are under scrutiny.
February 5 -
The federal government shutdown has demonstrated the need for a more independent source of public finance for cities and urban counties.
February 5 -
The board received comments from dealers asking for clarification on bid-wanteds, MSRB Chair Gary Hall said.
February 4 -
The 2007 bond authorization for the Cancer Prevention Research Institute of Texas is nearly tapped out, sparking debate about what comes next.
February 4 -
A lawsuit alleging fraud accusing banks and broker-dealers of fraud in the variable-rate demand obligation market will proceed, an Illinois judge ruled.
February 1 -
Issuers say a variety of factors make it difficult to get audits in any faster.
January 31 -
Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.
January 31 -
Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.
January 29 -
The Dayton, Ohio, school is in the second week of the faculty strike over working terms and conditions.
January 29 -
Days after the government reopened temporarily, the Municipal Securities Rulemaking Board extended the effective date for new advertising requirements.
January 29 -
With Rule 15c2-12 amendments taking effect at the end of February, issuers expressed confusion about their impact on continuing disclosure responsibilities.
January 28 -
The MSRB plans to file for a new effective date for new advertising requirements as soon as the government reopens.
January 25 -
Topics range from policy changes, regulatory developments, and pensions to interest rates, technology, and market opportunities.
January 24 -
The Municipal Securities Rulemaking Board will begin preliminary conversations about SEC Chair Jay Clayton's disclosure comments.
January 24 -
Gov. Ricardo Rosselló is offering relief to the 4.500 federal employees in Puerto Rico whose paychecks have stopped coming.
January 24 -
Despite the many factors pulling against our market including slowing GDP and trade uncertainty, Christopher Mier, CFA of Loop Capital, remains optimistic on the municipal market. He see upgrades outpacing downgrades and is looking for stable returns in the state and local sectors. He even has hopes for improvements in Illinois post election and believes that P3s and OPEB bonds may see more activity. John Hallacy is host.
January 24 -
BondWave’s Municipal AA QCurve is among four third-party yield curves on MSRB’s EMMA site.
January 22 -
The program was expected to be heavily-attended and would address advertising rules and test prep for the Series 54 Exam.
January 18 -
FINRA found the firm should have disclosed late payments and other material information to investors in COPs linked to Brogdon projects.
January 17 -
Dealers want to change some of the language in the Municipal Securities Rulemaking Board Rule G-17 interpretive guidance.
January 16















