Regulation and compliance
Regulation and compliance
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Municipal advisors may be subject simultaneously to conflicts of interest that should be fully disclosed under both federal and state law.
September 25 -
The competitive GO deal will feature five- or eight-year calls.
September 24 -
Carlos Braceras, elected as the American Association of State Highway and Transportation Officials’ new president on Monday, said one of his goals will be to persuade Congress to include more funding and policy reforms in surface transportation reauthorization legislation.
September 24 -
FINRA examiners alleged Mesirow violated disclosure and supervisory rules.
September 21 -
A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.
September 20 -
California government officials are trying to figure out how best to use the Opportunity Zones created in the 2017 federal tax bill.
September 20 -
A pilot program for the new Series 54 exam should be available early next year, the MSRB announced.
September 19 -
The MSRB's guidance on social media use by muni advisors under its new advertising rule could use some work, market participants said.
September 19 -
Where the SEC's Rick Fleming sees potential benefits, broker-dealers see burdensome, duplicative work.
September 18 -
The Municipal Securities Rulemaking Board on Monday released final and draft guidance on issues related to its G-40 advertising rules for municipal advisors.
September 17 -
The disclosure of some variable-rate demand obligation information on EMMA shouldn't be used to dismiss a lawsuit alleging fraud in VRDO remarketing,lawyers for the plaintiff told an Illinois court.
September 17 -
Municipal advisors have a duty of care to their clients that is much more comprehensive, and more demanding.
September 17 -
The fallout from a 2017 federal fraud case is continuing to impact bond investors with the latest development involving the loss of tax-exempt status for bonds that were issued for two assisted living facilities in Georgia.
September 14 -
Dealer firms are trying to comply with newer rules like markup disclosure, while regulators are finding some problems and working to communicate more clearly.
September 13 -
Roisman is officially back at the SEC, but this time as a commissioner.
September 11 -
A total of three advisory groups will be providing input to the board in the new fiscal year.
September 11 -
States would be barred from starting to require the collection and remittance sales taxes from online vendors located out of state until next year under a bill introduced by two Republicans in the Senate.
September 10 -
In a post-tax reform world, the PFM Group created a new title, promoting Daniel Hartman to head of the financial advisory business.
September 10 -
Widespread use of the bid-wanted process as a price discovery tool could hurt market integrity, the MSRB believes.
September 7 -
The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.
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