Regulation and compliance
Regulation and compliance
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Legislation requiring standardized financial disclosure from issuers is attached to a must-pass defense bill, which narrows the window to fight the measure.
September 30 -
Federal Reserve Chair Jerome Powell has deflected requests from a top critic, Sen. Elizabeth Warren, for details of financial transactions by central bank officials, risking an escalation of tensions with lawmakers over disclosure issues.
September 30 -
Texas gave S&P until Oct. 13 to produce documents detailing its development and use of ESG factors in public finance ratings.
September 29 -
Meredith Hathorn's almost forty years in public finance situate her well to steward the board through the coming fiscal year.
September 28 -
Brett, whose term ends this week, oversaw the MSRB's push for a greater integration of technology as well as overseeing some controversial rule proposals.
September 26 -
Aaron Fletcher and his firm Twin Spires Financial have entered a final judgment with the Securities and Exchange Commission over their role in two allegedly fraudulent offerings and a failure to register as a municipal advisor.
September 22 -
The muni market is watching the fiscal 2023 defense bill closely to see if a final version requires issuers to overhaul their financial disclosure practices.
September 21 -
Vern Buchanan appears to lead the way, but recent moves by Jason Smith to appeal to more GOP leaders make the race for chair of the Ways and Means Committee a tight one.
September 21 -
The Municipal Securities Rulemaking Board voted to amend its Rule G-40 on advertising by muni advisors and Rule A-12 on registration during its final board meeting of the year.
September 19 -
Opponents say the legislation could prompt issuers to drop out of the public bond market while supporters say investors and regulators deserve standardized financials.
September 16 -
Despite a boost in state funding, Arizona school districts face big budget cuts unless the Republican-controlled legislature lifts a cap on their spending.
September 15 -
The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor
September 14 -
Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.
September 14 -
The SEC has charged Oppenheimer in a litigated action and settled with BNY Mellon, TD Securities and Jefferies for failing to comply with municipal bond disclosure requirements.
September 13 -
The newly installed Fed vice chair for supervision outlined his vision for his role in his debut policy speech last week. Advocacy groups are happy, but have some unanswered questions.
September 12 -
The rating agency cited progress on long-term fiscal stability and budgeting in its decision.
September 12 -
Fitch said the upgrade reflects lessened risk "as Vogtle Units 3 and 4 approach their scheduled commercial operation dates in 2023."
September 12 -
Capital Market Advisors responded to the Securities and Exchange Commission's claims that the charges are inconsistent or in excess of those imposed by the applicable laws.
September 9 -
Ahmed's appointment comes a few months after longtime SIFMA lawyer Ira Hammerman announced he would leave the job this year.
September 7 -
The MSRB's proposal to reduce trade reporting times will harm smaller dealers who don't have the resources to automate their order flow, according to comments the Board received.
September 6















