Regulation and compliance
Regulation and compliance
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New Jersey Gov. Chris Christie signed a bill late giving the state an alternative route to shedding Atlantic City public safety staff.
August 28 -
The SEC's case against an MA firm and its officials seems to have hinged on why they were hired.
August 25 -
GFOA says the political subdivision rule would “add extensive and additional federal requirements.''
August 25 -
The firm and its officials changed a city's existing disclosure agreement without telling investors.
August 24 -
MSRB wants to fine-tune data it gets on municipal fund securities to be able to better compare it.
August 23 -
The parties would have been more leniently treated if they reported failures under MCDC.
August 23 -
The advertising rule changes reflect regulatory developments and will inform investors..
August 22 -
Lokken will work in Atlanta as Parker Poe continues to expand in the Southeast.
August 22 -
NFS failed to follow underwriter instructions; Corecap failed to report transactions.
August 11 -
SEC rules provide municipal advisors an opportunity strengthen their bonds with issuer clients.
August 11 -
Market participants are unsure what the Municipal Securities Rulemaking Board is after.
August 8 -
After Sept. 12, municipal advisor representatives who have not passed the Series 50 Exam may not engage in MA activities.
August 8 -
General John F. Kelly’s arrival as the Chief of Staff at the White House is hopefully a harbinger of more positive action.
August 2 -
Davenport's Lucy Hooper will become MSRB chair and Goldman's Arthur MIller will continue as vice chair for fiscal 2018, the board said in announcing new officers and members.
August 2 -
The Securities and Exchange Commission has concluded its investigation of the West Contra Costa Unified School District's bond program without any sanctions, the agency announced.
August 1 -
The Securities and Exchange Commission is investigating whether a municipal advisor for Babylon, N.Y. bond financings had a conflict of interest and violated his fiduciary duty by also owning a company that provided the town with workers.
August 1 -
Muni market participants will have more time to prepare for customer account transfer changes.
July 28 -
MSRB to issue concept release seeking input on whether primary offering rule changes are needed.
July 28 -
MSRB warns issuer selection of underwriters counsel may lead to conflicts of interest.
July 27 -
NABL paper tells lawyers everything they wanted to know about bank loans, private placements.
July 27













