Regulation and compliance
Regulation
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The $28,800 fine pertaining to violations of Municipal Securities Rulemaking Board rules was part of a $75,000 total fine imposed by FINRA.
August 7 -
The spaceport PAB statute was crafted in a way that's likely to appeal to the tax-exempt bond market. Nixon Peabody's Johnny Hutchinson said.
August 6 -
The state faces a $1.2 billion revenue hit in fiscal 2026 , as well as future spending pressures, from President Trump's One Big Beautiful Bill.
August 5 -
The Federal Reserve governor's term was set to expire in January and President Donald Trump has made it clear that she would not be reappointed. The vacancy will give Trump an opportunity to appoint someone new to the central bank's board.
August 1 -
Moody's cited continued liquidity improvements in the ratings lift for the northern California clean energy aggregator.
August 1 -
Fitch said the train line's ridership and revenue ramp-up continue to lag projections.
July 31 -
"We're always happy to have these conversations," Sanchez said during a virtual conference co-hosted by XBRL US and the University of Denver.
July 31 -
Vivian Altman, Nancy Feldman, Daniel Hartman and JoLinda L. Herring slated to serve four-year terms starting Oct. 1.
July 30 -
The agency cited the permanent raise to the rum tax cover for the improved outlook.
July 29 -
There have been critics of SRO authority since they started regulating the financial industry nearly a century ago, but their ideas have yet to find a political moment so suited to them.
July 25 -
The MSRB Board also elected PRAG's Wendell Gaertner as vice-chair and approved a budget and rate card.
July 24 -
First Southern LLC failed to timely and accurately report on trades executed for an affiliated hedge fund, FINRA said.
July 21 -
The meeting will be held on July 23 and 24.
July 18 -
SROs "are now being guided by individuals who lack a deep real-world understanding of the markets they oversee," the trade association said in a letter to the House Financial Services Committee.
July 16 -
"We supported the approved rule change and are extremely disappointed that the MSRB is now proposing to halt the progress it had been making toward full and complete transparency in the municipal securities market," Dimensional Fund Advisors officials said in a letter.
July 14 -
Isaak Bond Investments has agreed to pay a $20,000 fine to settle allegations brought by the Financial Industry Regulatory Authority.
July 9 -
"I've always really enjoyed what I do," said Henry, who began doing legal work involving municipal securities in 1981.
July 9 -
"If you are seeking the services of a municipal advisor, it would be helpful to use the term municipal advisor in your RFP/Qs," said Sanchez, director of the SEC's Office of Municipal Securities.
July 3 -
Chicago had a $161 million deficit in fiscal year 2024, according to the annual comprehensive financial report the city released on Monday.
July 1 -
"I think your first question to them should be 'Are you from the future?,'" the deputy director of the SEC's Office of Municipal Securities said.
July 1

















