Regulation and compliance
Regulation and compliance
-
After infrastructure and health care legislation failed to materialize, the municipal industry turns its attention to the potential benefits – and risks – of tax reforms now before Congress.
October 17 -
Ameriprise Financial Services, Cabrera Capital Markets, R. Seelaus & Co., Performance Trust Capital Partners, and Murray Sinclaire of Ross Sinclaire & Associates signed settlement agreements.
October 16 -
Broker-dealers are tasked with devising a systemic, robust way of determining prices for securities, yet guidance has been vague, especially with respect to illiquid bonds.
October 16 -
Wenatchee, Wash. is back to investment grade after a rough couple of years.
October 13 -
Market groups and individuals asked the SEC to reject parts of an MSRB rule intended to improve transparency of dealers' private placements.
October 12 -
The GFOA urges issuers to establish clear policies and procedures in the primary and secondary markets.
October 10 -
Muni advisors can expect more exams and need to work on compliance, SEC officials said.
October 6 -
Randal Quarles was confirmed 65-32 as a Fed governor, and by voice vote as the vice chairman of banking supervision.
October 5 -
The Senate invoked cloture to begin the process of confirming Randal Quarles as a governor on the Fed board.
October 4 -
The Securities and Exchange Commission will issue a new series of educational materials.
October 4 -
The breach occurred in 2016, but was not publicly addressed by the SEC until Sept. 20.
October 4 -
Dee P. Wisor, an attorney at Butler Snow in Denver, will be elected as next year's president.
October 3 -
New National Association of Bond Lawyers president Sandy MacLennan wants to publish more research.
October 3 -
Lucy Hooper, a member of the MSRB since 2014, will take the helm as chair effective Sunday.
September 29 -
The withdrawal or reduction ofederal support for healthcare funding would damage the state budget.
September 28 -
Not everyone appreciates the MSRB's disclosure warnings.
September 27 -
The National Association of State Treasurers has tapped Vermont Treasurer Beth Pearce as its next president.
September 25 -
Rules implementing the Volcker Rule should exempt the traditional TOB structure, SIFMA says.
September 25 -
I write in response to the September 14 guest opinion article titled, “Don’t be selective about disclosure,” written by Lynnette Kelly. Though Ms. Kelly raises important issues in her article and we support her stance overall, her facts with respect to PREPA are inaccurately portrayed.
September 25 -
It warned of deep losses under the latest efforts to repeal Obamacare.
September 22













