Regulation and compliance
Regulation
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Todd Cipperman, founding principal of Cipperman Compliance Services, talks with Chip Barnett about compliance and disclosure and regulation by the federal government in 2022. (42 minutes)
January 4 -
The Municipal Securities Rulemaking Board has begun accepting applications for two regulated and two public board positions until Feb. 7.
January 4 -
Shawn Wooden has called for strengthening the Fed’s short term municipal lending program and enactment of a national baby bond program.
January 3 -
The MSRB's priorities for the year include action on ESG, updates to its EMMALabs platform, and more requests for comment aimed at modernizing its rulebook.
January 3 -
Unregistered municipal advisor activity and breaches of fiduciary duty remain priorities.
December 30 -
Fitch raised the CBOE’s issuer default rating and outstanding unlimited tax GOs to BB-plus from BB and outstanding dedicated capital improvement tax bonds to A from A-minus.
December 29 -
Industry advocates want to preserve allocation of private activity bonds to the states and help Congress understand the benefits of advance refunding.
December 27 -
Yan Zhao, President of NYDIG as she exploreshow Bitcoin is experiencing wider adoption in the traditional finance world, and why that is.
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The rating agency also confirmed the city’s Ba2 rating on $191 million of outstanding water and sewer revenue bonds.
December 23 -
Some firms are voluntarily self-reporting potential supervisory and suitability rule violations.
December 22 -
FINRA found that RBC’s supervisory system did not flag recommendations that resulted in potentially unsuitable concentrations of high-yield bonds in certain customer accounts.
December 16 -
The Securities and Exchange Commission has proposed amendments to its money market fund rules, which it has tinkered with repeatedly since the Great Recession.
December 15 -
Join industry experts to explore how financial institutions can better prepare for future compliance issues associated with the evolving landscape.
December 15 -
The defendants are raising questions about due process and the definition of fee-splitting arrangements.
December 14 -
KBRA says the deal will allow for expansion.
December 13 -
County executives said they need to protect against flooding, sea level rise, erosion and other climate change-related damage.
December 9 -
"The vast majority of muni issuers are trying to do the right thing,” Zehner said. “The vast majority of underwriters and municipal advisors are trying to do the right thing.”
December 9 -
The measure would allow issuers to tap unused pandemic aid for transportation, infrastructure and disaster aid relief.
December 7 -
Following the news that Rebecca Olsen, former director of the Office of Municipal Securities has moved to deputy chief in place of Mark Zehner, the Securities and Exchange Commission has named Ernesto Lanza as acting director.
December 3 -
Mark Zehner has retired from his position as deputy chief of the SEC's public finance abuse unit, a position that Rebecca Olsen, former director of the Office of Municipal Securities, has taken over.
December 3

















