Regulation and compliance
Regulation and compliance
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A state senator is seeking authority to issue $450M in general obligation bonds to pay for voting machines.
July 5 -
Market participants say MSRB should include non-bank entities.
July 3 -
The SEC's Investor Advocate said muni market reform will be one of five areas for "significant time and attention."
June 29 -
The new guidance details conduct that may put advisors in violation.
June 29 -
The SEC could charge workers from Morgan Stanley & Co. and Barclays Capital, who worked on the deals.
June 29 -
The U.S. Securities and Exchange Commission may take action against bankers from Barclays Plc and Morgan Stanley for their roles in Puerto Rico bond sales before a worsening fiscal crisis sent it hurtling toward bankruptcy.
June 29 -
The SEC's chair said the commission's fiscal 2018 budget request would help enforcement and examinations.
June 27 -
How the MSRB maintains effective and efficient regulations for the municipal securities market
June 26 -
BOKF is trying to persuade a judge to dismiss a muni complaint the bank says lacks a legal basis.
June 21 -
Enforcement actions are generally terminated when firms have remedied underlying problems.
June 20 -
As we await details on the president’s infrastructure program, the best approach is to study up on the alternatives -- and be patient.
June 20 -
The MSRB gave participants guidance on complaint processes by releasing codes for recordkeeping.
June 19 -
About a quarter of registered municipal advisory firms have no advisors qualified through the Series 50 exam.
June 19 -
Improving market participants' access to guidance and data are future goals for the MSRB.
June 19 -
Four firms paid a combined $102,500 to settle FINRA charges related to violations of MSRB gift and reporting rules.
June 15 -
Dwayne Edwards and 11 companies have agreed to a judgment in a case with ties to Christopher Brogdon.
June 14 -
The Treasury Department is echoing state and local groups, saying some munis should be considered HQLA.
June 13 -
The SEC under chair Jay Clayton will operate with two co-directors of enforcement, Stephanie Avakian and Steven Peikin, and at least one of them has experience with the municipal bond market.
June 9 -
The Financial CHOICE Act, which the House passed Thursday, would have some direct effects on munis.
June 8 -
Former broker Deborah Kelley will pay $188,000 as part of her sentence after pleading guilty to taking part in a pay-to-play scheme involving New York pension fund business.
June 8
















