Regulation and compliance
Regulation and compliance
-
In May, a bipartisan group of lawmakers sent a letter to the federal agencies responsible for the FDTA rulemaking, urging them to stick to the schedule spelled out in the law.
July 25 -
Vance has called for eliminating the SALT deduction, calling it "massively redistributive toward the lower- and middle-income brackets."
July 24 -
Philadelphia-based Janney Montgomery Scott has been fined by the Financial Industry Regulatory Authority for reporting inaccurate times of trade on 391 municipal securities transactions.
July 24 -
The Jeffrey Matthews Financial Group has been fined by FINRA for failing to achieve compliance with Regulation Best Interest.
July 22 -
Both ratings agencies cited the health system's improved liquidity in recent years.
July 22 -
The board's next quarterly meeting, scheduled for July 24-25, will include a review of market regulations, structure, and transparency issues .
July 19 -
S&P Global Ratings is concerned that fall freshmen enrollment will be down significantly after dropping last year.
July 18 -
Recently, the SEC has focused its attention on disclosures related to artificial intelligence, including the use of machine-learning, generative models or algorithms, blockchain, and other similar emerging automated technologies, warning market participants of the risks associated with "AI-washing."
July 18 -
The Federal Reserve chairman has two years left in his term, which he will serve regardless of who occupies the White House. Powell's term on the Fed Board of Governors expires in 2028.
July 15 -
Birmingham, Alabama-based FNBB Capital Markets has been fined by the regulator for failing to include certain mark-ups and mark-downs on dealer confirmations sent to retail customers.
July 15 -
The one notch upgrade affects $256 million in outstanding bonds and resulted from Fitch's recent criteria change.
July 15 -
The amendments add disclosure scenarios, slightly update the definition of materiality as well as clarify details of supplementary material.
July 12 -
The Fed chief said "more good data" is needed before interest rate targets are lowered.
July 9 -
The private-activity bonds funding LAX's automated people mover project have been downgraded to junk by Fitch amid delays and disagreements with the private developer. But Fitch affirmed the airport's AA rating.
July 5 -
The rating agency's new local government rating criteria led to the higher rating.
July 2 -
The system, along with UT Southwestern Medical Center, plan to build a $5 billion pediatric health campus in Dallas.
July 2 -
The SEC, MSRB and FINRA will gather in Denver Nov. 20-21 to discuss compliance for MAs and broker-dealers, examination priorities, and more.
July 1 -
The Supreme Court decision in SEC v. Jarkesy held that Congress can't force regulated entities to defend themselves in the SEC's in-house court, but likely won't change much for the Public Finance Abuse Unit.
June 28 -
The City of Angels is the latest in recent days to score a ratings upgrade as Fitch reviews its local government ratings using amended criteria.
June 17 -
Ten other pension obligation bonds are under review by Fitch Ratings as a result of the agency's new local government criteria.
June 14
















