Regulation and compliance
Regulation and compliance
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MA and broker-dealer compliance with relatively new rules, as well as the MSRB and FINRA, will be in the spotlight.
February 7 -
Oregon voters upheld temporary taxes that support the state's ACA expansion
February 5 -
Chicago has yet to identify to how it will pay for higher future pension funding, but Kroll says the city can manage.
February 5 -
Orrick Herrington & Sutcliffe will establish its second-largest public finance team in Houston with more than two dozen hires from Andrews Kurth Kenyon.
February 5 -
All but one of the remaining defendants in the Securities and Exchange Commission's case against Ramapo, N.Y., have agreed to settlement terms, according to court documents.
February 2 -
The sanctions involved eight transactions of Alaska bonds issued in 2015 and FINRA found the firm had inadequate supervisory procedures.
February 1 -
Moody's placed $975 million of the university's long-term debt on review for downgrade.
January 31 -
Municipal bond volume evaporated in January, as the market felt the aftereffect of federal tax legislation that pulled issuance forward into 2017.
January 31 -
It will take some time to see how both tax reform and infrastructure makes an impression on the muni market, said panelists at The Bond Buyer's National Outlook 2018 Conference.
January 31 -
The governor wants to neutralize the effects of the new law to make it revenue-neutral for the state government.
January 29 -
The Municipal Securities Rulemaking Board's decisions at last week's board meeting reveal that it feels a sense of urgency as the clock ticks down toward the effective date of its landmark markup disclosure rule.
January 29 -
Survey found risky behaviors and indications of vendor favoritism.
January 29 -
Chicago’s Sales Tax Securitization Corp. bonds cleared the market after a one-week delay.
January 25 -
First Deputy Mayor Dean Fuleihan put the price tag at $425 million over four years.
January 24 -
SIFMA is urging the MSRB to be more forthcoming in providing interpretive guidance to dealers and other regulated entities.
January 24 -
Sen. James Lankford, R-Okla., and Rep. Robert Pittenger, R-N.C., have asked the GAO how many tax-exempt munis were used for abortion-related facilities during the past 20 years and what was the associated federal tax liability.
January 23 -
The Municipal Securities Rulemaking Board issued a report saying its oversight of the muni market without enforcement power is among the advantages it offers as a self-regulator.
January 22 -
Municipal advisors would be subject to most of the same requirements as dealers under a proposed new advertising rule, but would be even more limited in certain ways.
January 19 -
Bondholders now have until Jan. 26 to agree to the tender exchange on up to $435 million in bonds.
January 18 -
Banks have a range of options to calculate "gross-up" provisions on direct placement bonds, which allow them to maintain their after-tax yield after this year's cut in corporate tax rates.
January 18
















