Regulation and compliance
Regulation and compliance
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The SEC and DOJ announced charges in connection with municipal bonds issued for the Legacy Cares sports complex in Arizona, which defaulted and went bankrupt.
April 1 -
An Illinois park district became the only local general obligation credit to default in 2024, according to Municipal Market Analytics.
March 28 -
Mary Simpkins, who joined the SEC's Office of Municipal Securities in November 1997, is retiring.
March 27 -
The American Securities Association's federal appeals court case regarding an SEC order has been stayed until Aug. 13.
March 25 -
NewEdge Securities was also ordered to pay disgorgement of $750,746 plus interest.
March 24 -
President Trump's selection of Federal Reserve Gov. Michelle Bowman as the next vice chair for supervision comes as banking groups and their allies in Congress asked the administration to fill the position quickly. Bowman was the preferred choice for many in the industry.
March 17 -
The MSRB has said it is amending a pending rule change that would greatly shorten the reporting time standard for municipal bond trades, which could cause problems for certain transactions, dealer firms said.
March 17 -
SEC probe relating to a cyberattack on a Michigan township's bond sale could involve looking into whether investors are getting an accurate picture of the issuer's credit risk, a former SEC enforcement attorney said.
March 12 -
A city-created corporation plans to issue bonds for the mass transit project, paid off with a voter-approved hike in the maintenance and operations property tax.
March 12 -
Federal Reserve Chair Jerome Powell emphasized the need for patience amid uncertainty over the Trump administration's policies, saying there would be no immediate rate changes but that the Fed would proceed carefully.
March 7 -
The case related to an attorney the firm used as a consultant in negotiations related to Puerto Rico's debt restructuring.
March 7 -
The MSRB said its board at a previously scheduled meeting Thursday authorized the filing of further amendments to Rule G-14 .
March 7 -
FINRA found that Tradeweb had violated an MSRB rule by failing to include the 'NTBC indicator' when reporting certain municipal securities transactions.
March 6 -
The IRS has issued a preliminary determination that educational and general revenue bonds issued in 2018 by the University of Rhode Island are taxable due to alleged noncompliance with requirements of Section 149(g).
March 4 -
Wisconsin will be in the market Wednesday with $253.9 million of general obligation bonds, with some proceeds funding the Blatnik Bridge replacement project.
March 3 -
The American Securities Association in a brief filed in the U.S. Court of Appeals for the Eleventh Circuit said an SEC order should be set aside because the MSRB is unconstitutionally structured.
February 28 -
One California city has found that corralling a joint powers authority isn't easy.
February 27 -
S&P cited the government's improved fiscal position as a factor in the positive outlook.
February 27 -
A voter-approved charter amendment requiring a bigger police force spurred Moody's Ratings to revise its outlook on the city's A1 bond rating to negative.
February 27 -
Seconds – even just one of them – count, FINRA's fining of MarketAxess shows
February 27

















