Regulation and compliance
Regulation and compliance
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Only two Michigan school districts remain under state oversight.
October 18 -
The MSRB needs to better explain the mock advertisements in its compliance resource, a pair of industry groups told the board this week.
October 18 -
Kelly Jin, a former White House adviser, will work to streamline analytical and data practices in the Big Apple.
October 17 -
In their pleading, banks said the plaintiff is "precisely the sort of 'busybody' " that is prohibited from making such claims.
October 16 -
The committee tasked with providing insight on the muni and corporate bond markets is meeting again in two weeks.
October 15 -
The SEC failed to ensure that issuers and obligated persons are able to readily comply with the new requirements.
October 15 -
Groups active in the muni market are spending millions of dollars to influence policy and elect candidates, records show.
October 11 -
The whistleblower responsible for federal investigations and lawsuits accusing banks and broker-dealers of fraud and collusion in the remarketing of variable rate demand obligations will likely be forced to go public because of a recent ruling by Massachusetts’ highest court.
October 5 -
The MSRB, SEC, and FINRA will host an outreach event early next year as muni advisors prepare for a new principal exam among other requirements.
October 5 -
Key SEC officials responsible for muni rulemaking and enforcement said they don't feel disclosure has been adversely impacted due to fears stoked by the Municipalities Continuing Disclosure Initiative.
October 4 -
The Bond Dealers of America has formed a Fixed Income Market Structure Working Group to advise regulators, lawmakers and market participants on structural changes in the fixed income industry and marketplace.
October 3 -
Opponents say passage of Amendment 5 in November would threaten Florida’s ability to fund state priorities and its triple-A ratings.
October 3 -
Gary Hall, who became the new MSRB chair on Monday, says he has a "reverence" for the muni market.
October 1 -
The Protecting Family and Small Business Tax Cuts Act of 2018 which passed 220 to 191 isn’t expected to become law because the Senate won’t consider it this year.
September 28 -
The Internal Revenue Service has taken no action regarding tax-exempt refunding bonds that were issued for Gettysburg College in 2010, after closing an audit that appears to have been randomly initiated.
September 28 -
SEC and MSRB officials responded to the concerns and frustrations of bond lawyers who were meeting in Chicago.
September 28 -
SIFMA is publishing a new model document that it says should help underwriters avoid regulatory risk.
September 27 -
The amount of outstanding variable rate demand bonds rose to $142.4 billion in the second quarter of this year, a gain over $142.2 billion in the first quarter and the end of a decade-long decline, Moody’s Investor Service said in a recent report.
September 26 -
Incoming NABL president Dee Wisor wants the group to be more active in Washington.
September 25 -
The MSRB is hoping that new guidelines will encourage more conversation between its staff and the broker-dealers and muni advisors it regulates.
September 25


















