Regulation and compliance
Regulation
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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 -
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














