Regulation and compliance
Regulation and compliance
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One troubling practice has persisted from an era when pay-to-play was rampant and kickbacks were just the cost of doing business
July 27 -
The Municipalities Continuing Disclosure Cooperation Initiative may have muddied some waters.
July 26 -
The time is right to push this bill all the way through Congress, said one lobbyist.
July 25 -
Questions have been raised about incentives provided to developer.
July 25 -
Investors, issuers get new benchmarks, analytical tools on EMMA.
July 21 -
The MSRB will also discuss primary offering and MA qualification requirements at its meeting.
July 20 -
The new fee would add one more to a slew of fees dealers already pay to the MSRB.
July 19 -
While EMMA has helped the market, it has not bridged the gap between institutional and retail.
July 18 -
UBS' fine follows prior SEC action against the firm for minimum denomination violations.
July 17 -
MSRB urges MAs to weigh whether they have duties to both issuers and borrowers in conduit deals.
July 14 -
One CEO raised some concerns about electronic trading that he said regulators should consider.
July 14 -
The plaintiffs had alleged G-37 amendments would restrict the political contributions of municipal advisors.
July 13 -
Former Ramapo, N.Y. town supervisor Christopher St. Lawrence is arguing he should either be acquitted or retried because of errors by the judge made before and during the trial as well as prejudice from jurors who found him guilty of 20 counts of conspiracy and fraud in connection with municipal bonds issued by the town and an authority.
July 13 -
The MSRB said it may add to its guidance in the future and will hold a seminar with dealers.
July 12 -
SEC chair Jay Clayton wants to ensure the fixed income market is efficient and transparent.
July 12 -
As regulators move to raise execution standards, electronic trading comes to play a significantly more important role in the compliance process.
July 10 -
Treasury has targeted the proposed political subdivision rules as burdensome.
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SIFMA wants the MSRB to harmonize its rule on account transfers with FINRA's regulation.
July 6 -
Federal investigators are seeking to learn if the Related Group, Miami's biggest developer, lowered costs on an affordable-housing project by hiring subcontractors who failed to pay employment taxes, the Miami Herald has learned.
July 6 -
The MSRB's newest online course is designed for investors and takes about 45 minutes to complete.
July 5















