Regulation and compliance
Regulation and compliance
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President Biden asked Treasury Secretary Janet Yellen to stay in her post, and she agreed, a White House official familiar with the matter said.
January 10 -
The JPMorgan Chase CEO said the Federal Reserve's rate hikes might need to go beyond what's currently expected, but he's in favor of a pause to see the full impact of last year's increases.
January 10 -
Esther George, the president of the Federal Reserve Bank of Kansas City, is retiring later this month. What's taking the bank so long to find a successor?
January 9 -
Without admitting or denying the findings, Blaylock Van consented to FINRA's findings that it failed to establish and maintain written supervisory procedures.
January 5 -
The organization is focused on some key muni priorities with the new year and new Congress.
January 4 -
While the turnpike authority is mulling an appeal of an Open Meeting Act violation judgment, lawyers for property owners are preparing to sue over money paid to contractors.
January 4 -
The Municipal Securities Rulemaking Board seeks four board members, particularly searching for an investor.
January 4 -
Some industry observers still question the need for machine-readable municipal disclosure.
January 4 -
The Securities and Exchange Commission's Public Finance Abuse Division began looking in new directions, charging five different firms with violating 15c2-12 limited offering exemptions in addition to going after issuer officials.
December 30 -
The permit clears land in rural Georgia for redevelopment by the electric vehicle maker, which is separately trying to validate up to $15 billion of bonds.
December 29 -
After a slow start, the Federal Reserve got its efforts to combat runaway inflation up to speed quickly, implementing tightening monetary policy at the fastest rate seen in decades. Here's a hike by hike breakdown.
December 28 -
While hope remains for certain muni priorities in 2023, others look highly unlikely to gain traction in an ideologically-split Congress.
December 28 -
Regulators have ambitious plans for 2023, which include best execution and time of trade proposals.
December 27 -
PNC Capital Markets has agreed to pay almost $200,000 to settle with the SEC over a failure to meet disclosure requirements in connection with 36 limited offerings.
December 22 -
Mild economic conditions resulted in slight changes to upgrades and downgrades in the third quarter, compared to the second quarter, S&P said.
December 21 -
Brandon Comer said the SEC's case alleging breach of fiduciary duty against him lacks evidence, but a federal judge refused to end the case.
December 20 -
The clock is ticking on Congress waiving PAYGO for Build America Bonds, a budget bear trap that could delay promised subsidy payments totaling $14 billion to issuers.
December 16 -
Municipal issuers pushed hard but unsuccessfully against the bill, which gives them four years to standardize their financial information.
December 16 -
Following a procession of anti-ESG policy decisions in Kentucky, state lawmakers met last week to discuss additional requirements for companies that have cut ties with the fossil fuel industry.
December 15 -
The change would give broker dealers, municipal securities dealers and municipal advisors until Jan. 31 to annually affirm the information on Form A-12, among other changes.
December 14


















