Regulation and compliance
Regulation
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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 -
J.W. Korth is appealing a FINRA panel finding that it charged customers excessive markups.
April 20 -
The House Financial Services Committee will hold a hearing on the revised CHOICE Act next week.
April 19 -
The MSRB will examine a host of critical comments on its proposals during its next board meeting.
April 19 -
Fifteen state and local groups are asking Congress to advance bills to treat munis as HQLA.
April 17 -
Dannenberg says regulators are losing sight of rules' goals, making them complex and burdensome.
April 13 -
Bond Dealers of America chair Tom Dannenberg discusses how some recent muni market rules seem to be losing sight of their goals and creating unneeded complexity, burdens, costs and liabilities for dealers and other market participants. Hosted by Jack Casey.
April 13 -
NABL urges OMB to force SEC to be more realistic in estimating burdens for disclosure proposals.
April 12 -
Bank of Oklahoma Financial wants a federal judge to throw out a class action that alleges the bank failed in its trustee role.
April 11 -
FINRA expanded its sanctions guidelines and suggested several penalties be more severe.
April 10 -
Bills now pending in the Senate and House would ease bank regulators' treatment of municipal securities
April 6

















