Regulation and compliance
Regulation and compliance
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The SEC's Fixed Income Market Structure Advisory Committee has liquidity on the agenda for its first open meeting, scheduled for Jan. 11.
December 27 -
The market shouldn't expect a lot of rulemaking in 2018, but there will still be plenty of regulatory developments to look out for.
December 27 -
Regulators will focus on helping dealers and municipal advisors comply with recently adopted rules and will also monitor how tax reform legislation impacts muni market practices.
December 27 -
The SEC's muni enforcement focus in 2018 will include offering and disclosure-related fraud, broker-dealer abuses, municipal advisor misconduct, public corruption, and pay-to-play practices.
December 26 -
New York State’s fourth largest township already carries the lowest-possible investment grade rating from Moody’s Investors Service.
December 22 -
FINRA said Philip Fluegge violated its rules when he sold shares in municipal fund securities.
December 14 -
City officials said consolidating the boards will improve governance and result in stronger fund performance.
December 14 -
President Trump’s call for $1 trillion in federal public infrastructure investment appears to have foundered, even as the national debt has accelerated, posing increased threats to the cost of state and local financing of public infrastructure.
December 13 -
It continues to be up to issuers and other beneficiaries of municipal bonds to raise awareness of the negative effect of the proposed tax reform legislation -- but time is running out.
December 12 -
The SEC has approved a change to increase the level of information the MSRB collects about certain muni fund securities.
December 11 -
First on the list is an infrastructure plan we can embrace fully – with clearly identified and unencumbered revenue streams from the Federal level.
December 11 -
The SEC is investigating after the school district's bond management practices were questioned in an audit.
December 8 -
Sen. Elizabeth Warren, D-Mass., was the only member of the Senate Banking Committee to oppose the nomination of Federal Reserve Board Gov. Jerome Powell to lead the central bank.
December 5 -
Navnoor Kang, the former director of fixed income for the New York State Common Retirement Fund, has pleaded guilty to criminal fraud charges.
December 1 -
The former mayor of Markham, Ill., solicited and received a $75,000 bribe from a contractor in return for giving him work on a bond-financed project.
December 1 -
The proposed ballot initiative would make Proposition 13 property tax breaks portable.
November 29 -
A federal judge has barred Ramapo, N.Y., from issuing new bonds for three years unless it hires an independent disclosure counsel.
November 29 -
The land swap is one of the obstacles that must be cleared to build Wayne County a new jail at a new site.
November 21 -
The SEC went into its expanding toolbox to bring fraud charges against Oyster Bay, N.Y., and its former top elected official for hiding the existence and potential impact of side deals with a businessman.
November 21 -
The California Debt Limit Allocation Committee wants to allocate $900 million in remaining private activity bond capacity.
November 21
















