Regulation and compliance
Regulation
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President Trump's nominee Elad Roisman is a step closer to becoming an SEC commissioner.
August 23 -
Muni market groups claimed victory after federal banking regulators moved to treat munis like all other types of Level 2B HQLA.
August 23 -
The now-defunct unregistered broker-dealer Core Performance Management, LLC, and four of its former employees settled fraud and MSRB rule violations with the SEC for engaging in municipal bond flipping and kickback scheme.
August 23 -
As the dust settles on the SEC's 15c2-12 announcement, questions loom about how difficult it will be to implement.
August 21 -
The final rules will focus on debt obligations on a similar level as bonds, an effort to respond to comments that the first proposal was too broad.
August 20 -
The MSRB's new FAQs examine an issue on which municipal advisor firms have been seeking guidance for months.
August 16 -
Gregory Gizzi, senior vice president and portfolio manager at Macquarie Investment Management, looks at the effects of tax reform on municipal bond market this year. He also discusses what investors should look for in the second half of the year. Chip Barnett hosts.
August 16 -
The Ohio Market Access Program is designed to lower local governments' costs when issuing short-term notes.
August 14 -
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.
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