Regulation and compliance
Regulation
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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 -
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














