Regulation and compliance
Regulation
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Moody's revised the outlook on Nevada's GOs and COPs to stable from negative.
July 20 -
Brian Egan will take up the mantle of being the primary voice for bond lawyers in Washington.
July 15 -
Alleged supervisory failures led to unsuitable trading patterns of Puerto Rico and other bonds, FINRA found.
July 15 -
Ed Sisk, a managing director and head of public finance at Bank of America Merrill Lynch, has been MSRB chair since Oct. 1, 2019.
July 14 -
The public transit agenices are benefitting from sales taxes that fared better than expected through the pandemic and the state's stronger fiscal footing
July 9 -
Fitch affirmed $14.3 billion of annual appropriation-backed debt at AA-plus in addition to the $1.1 billion of AAA-rated general obligation bonds.
July 2 -
Current rules require disclosures to customers who probably do not need them, industry lobbying groups argue.
June 29 -
The U.S. Supreme Court's upholding Obamacare removes one potential headache for a healthcare sector still recovering from the COVID-19 pandemic's wounds
June 21 -
The city faced significant challenges finishing its annual comprehensive financial report as a result of a cyberattack, an overhaul of financial systems and managing through the COVID-19 pandemic.
June 21 -
Dealers and muni advisors think the loyalties of solicitor MAs should be clearly disclosed.
June 18 -
Kroll analysts say federal aid helped the city avoid tapping deficit financing to pass a balanced budget.
June 16 -
Giroux brings to the MSRB her experience advocating on behalf of both broker-dealers and bond lawyers.
June 16 -
The New York-based firm agreed to be censured, pay the penalty, and remedy alleged problems with its supervisory system.
June 15 -
The rating agency elevated its outlook to stable on the state’s general obligation bonds and various state-entity revenue bonds.
June 14 -
Although many IRS audits of tax-exempt bonds are not reported on EMMA, the fact that only three have been reported almost halfway through the year highlights the recent drop in enforcement actions.
June 11 -
Jose Ramirez says he doesn't recognize the criminal mastermind portrayed in the SEC's complaint against him.
June 11 -
The dealer group's concern is on the treatment of institutional SMMPs under the suitability standard.
June 3 -
Robert Clarke Brown has joined the Board of Directors for the remainder of the fiscal year.
May 26 -
FINRA arbitrators ordered the wealth manager and closed-end funds manager to pay damages as it resolves outstanding claims stemming from the island’s fiscal crisis.
May 21 -
The proposed changes are part of the MSRB's ongoing retrospective rule review.
May 17

















