Regulation and compliance
Regulation and compliance
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The filing cuts the current 15 minutes standard reporting window down to one minute in what the MSRB describes as an effort to improve transparency.
January 16 -
The firm settled charges with FINRA over failing to include the Non-Transaction Based Compensation indicator for 91,059 reports of municipal securities transactions over a five year period.
January 12 -
Republicans are threatening to try to overturn the rule through the Congressional Review Act.
January 9 -
The negative outlook on the Phoenix-based university's Ba1 rating is due in part to its battle with federal regulators, including the U.S. Department of Education, which it sued in 2021.
January 9 -
The agency plans to broaden its current market share and expand into new sectors.
January 9 -
The Alameda Corridor Transportation Authority announced a tender offer as part of a restructuring plan that could culminate in $1.36 billion of bonds.
January 8 -
Without admitting or denying the findings, David Elgart of Sequoia Investments has agreed to a $20,000 fine and an 18-month suspension from association with any FINRA member firm for acting as an unregistered dealer.
January 5 -
Moody's also affirmed the A1 rating on the authority's $3.2 billion of general revenue bonds and the A2 rating on the $2.5 billion of general revenue junior indebtedness obligations.
January 5 -
The Municipal Securities Rulemaking Board is coming under fire from broker-dealer and municipal advisor groups for what those groups see as an opaque process.
January 4 -
Fitch Ratings said the trajectory of the city's AA rating could depend on how Mayor John Whitmire, who took office this week, resolves the years-long impasse over firefighter pay.
January 4 -
Arbitrage is in play, IRS budget boost is uncertain, stepped-up enforcement concerns remain
January 3 -
The regulator is looking for three tech savvy compliance experts.
January 2 -
"There is no doubt that inflation has had an impact. It's important that we continue to ensure that everyone working in New Jersey has access to a livable wage," said Gov. Phil Murphy.
January 2 -
The Municipal Securities Rulemaking Board is gearing up for its change to a one minute reporting window, slated for the first quarter of the year.
January 2 -
The list of regulations coming into effect next year, as well the expected Supreme Court decision on how the SEC uses its enforcement powers is paving the way for a landmark year.
December 27 -
Bond Buyer Executive Editor Kyle Glazier discusses the coming year in D.C. with Bond Dealers of America's Brett Bolton. (15 minutes)
December 26 -
Increasing capital requirements for banks may incentivize them to buy Treasuries over other assets, including munis, said market participants.
December 20 -
The upgrade affects $2.3 billion in debt. The commission also had its outlook revised to stable from positive.
December 20 -
The Municipal Securities Rulemaking Board's request for comment on Rule G-12(c) on inter-dealer confirmations should eliminate the provision altogether as many of its applications have been rendered obsolete.
December 18 -
S&P believes the state has sufficient liquidity and reserves to weather the shortfall, but analysts are not seeing the structural steadiness it had that led to the positive outlook, said lead California analyst Oscar Padilla.
December 15
















