Regulation and compliance
Regulation and compliance
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All debt obligations should be disclosed without regard to materiality, NFMA said in a letter to the SEC.
May 15 -
RBC Capital markets, along with Wedbush Securities and an individual reached settlements totaling $70,000 with FINRA.
May 12 -
Class action participants are arguing BOKF had conflicts of interest and failed to carry out duties.
May 10 -
State and local groups, warning the American Health Care Act would hurt them, say they'll fight to get the Senate to scrap or dramatically change the bill.
May 4 -
Jay Clayton became the 32nd chair of the SEC after being sworn into the rule on Thursday.
May 4 -
The MSRB has released guidance explaining how its rules relate to solicitor municipal advisors.
May 4 -
The CHOICE Act cleared the House Financial Services Committee and will move to the full House.
May 4 -
A judge has approved a settlement between the SEC and lawyer Robert Crowe over pay-to-play charges.
May 4 -
The Kansas House on Tuesday approved legislation extending the Sales Tax Revenue bond financing program for five years in what Rep. J.R. Claeys described as an "overwhelming yes" voice vote.
May 3 -
The SEC told a federal judge that it may be nearing a settlement in a case over fraudulent bonds.
May 3 -
The Senate has approved President Trump's nominee, Jay Clayton, to become the next SEC chair.
May 3 -
The House Financial Services Committee will hold votes on the CHOICE Act starting Wednesday morning.
May 2 -
The House passed a bill on Monday that aims to protect Puerto Ricans from unsuitable investments.
May 2 -
The MSRB has decided to reevaluate its minimum denomination rule filing with the SEC.
May 1 -
Legislators voted on Friday to give themselves one more week to agree on a federal spending bill for fiscal 2017.
April 28 -
President Trump's tweets further complicate already complex Puerto Rico Medicaid negotiations.
April 27 -
While the CHOICE Act will likely clear its committee, it is expected to face roadblocks in Congress.
April 26 -
The MSRB commended the SEC for its amendments on disclosure that have received backlash from others.
April 25 -
The Iowa fertilizer project used more than $1 billion of private-activity borrowing.
April 21


















