Regulation and compliance
Regulation and compliance
-
The income gap between the state's wealthier and poorer residents grew wider during the pandemic.
January 19 -
A handful of government representatives will give advice on 529 plans in the MSRB's Municipal Fund Securities Advisory group.
January 19 -
His experience as an active regulator as head of the Commodities Futures Trading Commission may transfer to his new post.
January 13 -
Dealers said the pandemic has highlighted the challenges of outdated rules and the need to modernize them.
January 12 -
S&P said the upgrade reflected the stability and resiliency of pledge revenues while it also looked closely at environmental, social and governance factors.
January 8 -
A judge said that the lawsuit filed on behalf of California accusing major banks of colluding to inflate VRDO interest rates did not allege the means of the conspiracy.
January 8 -
Federal CARES Act grants and loans, and bond market access, have helped mitigate the financial damage to hospitals caused by the pandemic.
January 7 -
Robbi Jones, principal at Kipling Jones & Co., received that ruling on appeal from FINRA’s National Adjudicatory Council late last month.
January 4 -
Sources say pricing of bonds will be a prevalent issue in 2021 following comments made by bipartisan SEC commissioners.
January 4 -
The default-ridden Chicago suburb says the court's action to give it back control of its water operation could aid its 2021 objective of restructuring debt.
December 31 -
The Treasury and IRS have only granted a few of the National Association of Bond Lawyers' requests for pandemic-related regulatory relief.
December 31 -
Lincoln Way school district in suburban Chicago moved further back up the investment grade ladder with a Moody's Investors Service upgrade.
December 30 -
The program has drawn comparisons to the Securities and Exchange Commission's MCDC.
December 30 -
The MSRB is planning to overhaul existing rules in 2021, while stakeholders will lobby the SEC for and against reviving a registration exemption for muni advisors.
December 30 -
Republican Commissioner Elad Roisman was named SEC acting chair and is unlikely to push any major initiatives in his short time, but he does have a focus on fixed income markets.
December 29 -
Moody’s Investors Service upgraded America's largest township one notch to Aa1 from Aa2 citing strong reserve levels during the COVID-19 pandemic bolstered by federal aid.
December 28 -
New Jersey and Connecticut on Tuesday joined a legal battle to stop neighboring states from taxing residents who due to the pandemic have stopped commuting over state lines and are now working remotely.
December 24 -
The negative outlooks tie to the possibility of more constrained financial resilience in the future, according to Fitch Ratings analysts.
December 24 -
The firm violated municipal advertising and fair dealing rules, the SEC found.
December 23 -
The commuter rail that runs between San Jose and San Francisco benefitted from a criteria revision on not-for-profit transportation infrastructure.
December 21



















