Regulation and compliance
Regulation and compliance
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The MSRB aims to provide considerations for firms looking at their compliance procedures.
August 14 -
The CFTC is set to decide how much swap activity necessitates inclusion in the swap dealer regulatory regime.
August 14 -
They are accused of improperly diverting newly issued municipal bonds to certain broker-dealers for a fee at the expense of retail investors.
August 14 -
The outlook revision reflects the district’s “progress towards structural balance," Fitch Ratings said.
August 10 -
Investors won't get nearly all their money back as the Securities and Exchange Commission's case against Dwayne Edwards and Todd Barker draws towards a close and SEC lawyers want the losses taken into account in settlements.
August 9 -
While she didn't work on muni issues specifically, Allison Lee is a seasoned buster of financial wrongdoers.
August 8 -
Underwriters and issuers agree that G-17 disclosures have become boilerplate and excessive, but diverge on whether a complete opt-out should be allowed.
August 6 -
More than $60 million in new debt Owensboro Municipal Utilities could issue this month to pay for the expansion of its William Cavin Water Treatment Plant would have no effect on the city's credit.
August 6 -
The Municipal Securities Rulemaking Board has selected two individuals representing the public and three from regulated entities from 80 applicants to become part of its 21-member board on Oct. 1.
August 2 -
Citizens Energy Group's water enterprise earned upgrades by the three major rating agencies.
August 2 -
While the ruling wasn't a total victory for Wells Fargo or banker Peter Cannava, the court's decision grants them three more months of preparation in their fight against the SEC.
August 1 -
The report card touts the MSRB's accomplishments, though that doesn't sit well with some market participants.
July 31 -
Though fires wreak havoc causing property damage and loss of life, the hit to local economies — and their bonds — tends to be ameliorated by state and federal funding.
July 31 -
The MSRB is hurrying to release multiple rounds of guidance on its pending muni advisor advertising rule, but industry groups say the first round could use some polish.
July 30 -
San Antonio has weathered a decade of stress on the federal funding and energy fronts.
July 30 -
Tax Reform 2.0 would make permanent the lower individual tax rates in last year’s Tax Cuts and Jobs Act that are scheduled to expire in 2025.
July 26 -
The plan for a second tax reform bill is galvanizing municipal market groups to step up lobbying efforts to tout the importance and benefits of munis to lawmakers on Capitol Hill.
July 24 -
Sen. John Kennedy, R-La., suggested he and Sen. Elizabeth Warren, D-Mass., may introduce a bill that would require MSRB to elect public members who represent consumers and are not just retired industry executives.
July 24 -
Kroll says the use of rating ceilings can "subvert fundamental credit analysis."
July 24 -
After nearly a decade with a junk bond rating, Rensselaer County's most populous town vaulted into investment-grade bond status Monday, the town announced.
July 24













