Regulation and compliance
Regulation and compliance
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Committee Chair Sherrod Brown is facing a tough election.
August 23 -
Dealers are welcoming the widening of the exceptions to manual trades and de minimis trading activity but are still asking regulators to prove why such a move is necessary.
August 22 -
Charter school bond issuance have leveled off as issuers consider labels and alternative structures.
August 21 -
The rating agency estimated the cost of college and university capital needs at $750 billion to $950 billion over the next decade.
August 21 -
Federal Reserve Gov. Michelle Bowman said she has concerns about an uptick in inflation and will need to see more positive data before supporting an interest rate cut.
August 20 -
Proposed guidelines for federal tax credits could undermine the effort to build a clean hydrogen market, critics say.
August 16 -
The Financial Industry Regulatory Authority adds Morgan Stanley to the growing list of firms charged with mark-up and mark-down failures on municipal securities transactions.
August 14 -
The state's year-old rules ban broker-dealers and investment advisors from using non-financial criteria in investment strategies.
August 14 -
The amendments to MSRB rule A-12 on registration would cause bank dealers to disclose associated persons, the same requirements that currently apply to non-bank dealers.
August 6 -
Federal agencies have at least initially determined that CUSIP is not the best choice for an identifier as they develop rules pursuant to the FDTA.
August 2 -
The three new members will serve four-year terms beginning with the board's new fiscal year in October.
August 2 -
Regulators indicated they may prefer the use of Financial Instrument Global Identifiers for securities.
August 1 -
Successful roll-outs are countered by regulations and red tape.
July 31 -
The mayor and controller debated the causes for the rating outlook revision to negative from stable ahead of a July city bond sale.
July 31 -
Riedl First Securities Company of Kansas has been fined $15,000 by FINRA for charging unfair prices, violating MSRB Rule G-30 on fair pricing and MSRB Rule G-27 on supervision.
July 31 -
Fitch upgraded Chicago's issuer default rating and GO debt rating to A-minus from BBB-plus and the city's sales tax securitization bonds to AAA from AA-plus.
July 31 -
The Jeffrey Matthews Financial Group has been charged $110,000 for charging unfair prices on 86 municipal bond transactions a week after being dinged for Reg BI violations.
July 29 -
Continued economic growth and budgetary discipline could lead to an upgrade of the state's AA rating over the next two years, S&P said.
July 26 -
During its final quarterly meeting for the FY 2024 fiscal year, the Municipal Securities Rulemaking Board elected a new chair and vice chair, and approved a $48.8 million budget for the upcoming year.
July 26 -
Local government investment pools remain free from SEC rules
July 25

















