Regulation and compliance
Regulation
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Vendors, dealers, and regulators say that the integration of sometimes subjective markup disclosure rule requirements into existing broker-dealer systems is proving to be a heavy lift for the industry.
March 22 -
A newly-published MSRB document is aimed at helping to reign in what the SEC has described as fairly widespread violations occurring at smaller municipal advisory firms.
March 21 -
States are poised to see increases in their corporate tax base because of the federal tax overhaul, according to a new study.
March 20 -
Some worry that MSRB's late release of an updated set of FAQs on markup disclosure requirements will hinder their meeting the May 14 effective date.
March 20 -
Improved budgeting and fiscal monitoring boosted New York’s fourth largest township out of junk status.
March 19 -
The bonds were used to finance the acquisition and renovation of an assisted living facility in Alabama by Dwayne Edwards, who the SEC charged with fraud last year.
March 16 -
The Lincoln-Way district is in recovery mode from past bond abuses of a previous leader.
March 16 -
The House has approved similar municipal securities and Puerto Rico provisions, but has wanted more sweeping bank deregulation legislation than the Senate.
March 15 -
The county's Moody's rating reached A territory for the first time in almost six years.
March 14 -
Moody's assigned a negative outlook to Guam's issuer rating and Guam Waterworks Authority bonds.
March 13 -
The Municipal Securities Rulemaking Board must conduct a test of its business continuity and disaster recovery plans at least once every 12 months.
March 13 -
From inappropriate touching to belittling comments, women advisors confront workplace environments that are far from welcoming.
March 12 -
MSRB publishes a resource document after deciding not to take regulatory action on minimum denominations.
March 12 -
The web-based, shared content trading muni platform is adding new features and launching ETF and corporate bond software
March 12 -
With lawmakers failing to address a $1 billion budget deficit, S&P said “uncertainty about fiscal 2019 now looms over Louisiana.”
March 8 -
A sweeping bank regulatory bill under debate in the Senate is very close to achieving something the muni market has been fighting for since 2014: the inclusion of municipal bonds as high-quality liquid assets.
March 8 -
College of DuPage's accreditation is no longer on probation.
March 8 -
Debt covenant compliance was an issue of concern pointed out during a recent meeting of the Ector County Hospital District audit committee.
March 8 -
NABL favors shortening to seven from 14 days the advance notice requirement for a public hearing about the issuance of PABs.
March 7 -
Steep enrollment declines sunk Sage College in Albany, N.Y. to Moody's Caa1 rating.
March 7
















