Regulation and compliance
Regulation and compliance
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The MSRB will retire 15 pieces of guidance, though those will still be available online for historical purposes.
April 26 -
A jump in oil prices and federal relief has increased the likelihood Alaska will continue judicious draws on its permanent fund.
April 23 -
There’s not much difference in the criteria S&P Global uses to rate general obligation debt issued by cities and GO debt issued by states.
April 23 -
The board had planned to abolish the requirement that MAs advising on competitive deals apply for CUSIP numbers, but has now decided to keep the rule as is.
April 23 -
The new director will be familiar with pay-to-play enforcement and public accounting fraud, which are important in the muni space.
April 23 -
A case settled this week was the first brought in decades by FINRA for a rule violation on quotations.
April 15 -
A year after its S&P outlook turned negative, Oklahoma is back to a stable position on strong financial management during COVID.
April 15 -
The agenda includes discussion of possible changes to MSRB Rule G-10, on investor and municipal advisory client education and protection.
April 14 -
The administrative shuffle also means that Edward Killen, who had been promoted to Acting Commissioner of TEGE, will return to the role of deputy.
April 9 -
The EPA would be responsible for administering the new grant program, should it become reality.
April 7 -
Still, Moody's on Tuesday revised its outlook on the New York MTA's primary transportation revenue bond credit to stable from negative while affirming its A3 rating.
April 6 -
S&P raised CPS' junk rating by one notch, saying federal funds will boost an "already positive financial trajectory."
April 5 -
Three House Democrats say they won’t support tax hikes unless the Biden tax plan includes a repeal of the $10,000 cap on state and local tax deductions.
March 30 -
Tax-exempt bonds issued for a private hospital system in Honolulu fell further into junk territory with S&P Global Ratings downgrading the bonds to CCC from B-minus.
March 29 -
Other detention centers and prisons operating near the U.S.-Mexico border have undergone similar IRS audits the last couple of years in which issuers have agreed to convert their bonds from tax-exempt to taxable.
March 26 -
Jeffrey Fladell, who retired from RBC Capital Markets in 2017, agreed to pay that fine while neither admitting nor denying FINRA's charges.
March 26 -
Alan Skelton previously served as state accounting officer for the state of Georgia, a position that is equivalent to state comptroller in other states.
March 18 -
The Municipal Securities Rulemaking Board is requesting comment on requiring more written disclosure from solicitor municipal advisors, which make up just 19% of all MA firms.
March 18 -
The pair of unregistered brokers will pay over $2 million in civil penalties.
March 15 -
In two municipal bond transactions, Aegis Capital Corp. sold to its customers at prices that were 40% higher than the market rate.
March 12

















