Regulation and compliance
Regulation
-
Will a lawsuit alleging a conspiracy in the VRDO market be dismissed early?
July 17 -
Changes the Federal Reserve Board made in 2016 to its Liquidity Coverage Ratio rules would treat munis more restrictively than other, similar Level 2B high quality liquid assets.
July 17 -
New York, New Jersey, Connecticut and Maryland claim the state and local tax deduction is essential to prevent federal tax powers from interfering with constitutionally guaranteed state rights.
July 17 -
An SEC advisory committee heard critics say the muni market is lacking in pre-trade price transparency and that hurts retail investors. But industry officials said MSRB rules have vastly improved muni market transparency.
July 16 -
Two researchers found the Securities and Exchange Commission and Municipal Securities Rulemaking Board had different data on municipal advisor registrants with a number of MAs failing to update SEC filings.
July 16 -
A newly released research paper found that the probability that a state general obligation bond will be rated higher after the Dodd-Frank Act is 2.7 times greater than before the law was enacted.
July 16 -
The new service will save dealer firms time and effort as they enter into muni underwriting syndicates.
July 13 -
Twenty-three years after hitting rock bottom, D.C. has a triple-A rating.
July 12 -
The deposit exceeds some pre-budget estimates that the fund would receive $14 million, said Gov. Tom Wolf.
July 12 -
Maine Gov. Paul LePage angered many muni market participants last month with a last-second cancellation of already-priced bonds, but is that the end of the story?
July 12 -
While munis have received scant attention at previous meetings, a discussion of pre-trade transparency is on tap for next week's Fixed Income Market Structure Advisory Committee meeting.
July 11 -
A large share of the refundings that saved the city hundreds of millions of dollars wouldn't be possible now that advance refundings are eliminated, a city official said.
July 10 -
The Financial Industry Regulatory Authority has already barred Jose Ramirez from the securities industry, his lawyer said.
July 10 -
The SEC issued separate administrative orders Monday stripping Malachi Financial Products of its muni advisory registration and barring Porter Bingham from the industry.
July 9 -
The MSRB is looking for public members, and specifically investors, to apply through Friday for spots on its board of directors.
July 9 -
Moody's Investors Service deemed the state's strong May tourism numbers a credit positive.
July 6 -
Rita Sallis has briefly rejoined the MSRB board following the resignation of Jim Beard and Ronald Dieckman's term has been extended.
July 5 -
Six straight treasurers want SEC chairman Jay Clayton to stay the course on the commission's forced arbitration policy.
July 3 -
Malachi Financial Products Inc. and its principal were charged with violating their fiduciary duty to a city in Mississippi, overcharging the city, and failing to disclose payments received from the underwriter.
July 2 -
S&P downgraded the outlook on the AA rated school and said further weakening in the school's finances could pressure the rating on $200 million of debt.
June 29

















