-
A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.
September 20
-
A pilot program for the new Series 54 exam should be available early next year, the MSRB announced.
September 19
-
The MSRB's guidance on social media use by muni advisors under its new advertising rule could use some work, market participants said.
September 19
-
Where the SEC's Rick Fleming sees potential benefits, broker-dealers see burdensome, duplicative work.
September 18
-
The disclosure of some variable-rate demand obligation information on EMMA shouldn't be used to dismiss a lawsuit alleging fraud in VRDO remarketing,lawyers for the plaintiff told an Illinois court.
September 17
-
Dealer firms are trying to comply with newer rules like markup disclosure, while regulators are finding some problems and working to communicate more clearly.
September 13
-
Roisman is officially back at the SEC, but this time as a commissioner.
September 11 -
A total of three advisory groups will be providing input to the board in the new fiscal year.
September 11
-
Widespread use of the bid-wanted process as a price discovery tool could hurt market integrity, the MSRB believes.
September 7
-
The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.
September 7
