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Municipal advisors would be subject to most of the same requirements as dealers under a proposed new advertising rule, but would be even more limited in certain ways.
January 19
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The Consumer Financial Choice and Capital Markets Protection Act of 2017 would modify 2014 regulations in a way that would benefit municipal bonds and state and local governments.
January 17
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The bill would restore an important source of liquidity for state and local governments and the financing of critical infrastructure projects in communities across the nation.
January 17
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Three firms and an individual were fined a total of $187,500 for a range of rule violations related to the use of alternative trading systems, spending during rating agency trips, unsuitable trading, and untimely reporting of munis.
January 12
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The first meeting of the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee focused mostly on corporate bonds and barely addressed the municipal securities market.
January 11
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The Municipal Securities Rulemaking Board’s net assets rose about $5.1 million to $74.4M in fiscal 2017, according to audited financial statements, adding to a healthy reserve the MSRB said it needs to ensure uninterrupted operations.
January 11
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Best execution, suitability, and other areas of concern for the municipal as well as corporate markets are among FINRA regulatory and exam priorities for 2018.
January 10 -
The SEC's first muni enforcement case of the year shows its willingness to use the Dodd Frank Act to punish some breaches of fiduciary duty that hadn't yet been spelled out by the MSRB.
January 8
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The Municipal Securities Rulemaking Board is looking for five people knowledgeable about the muni market to sit on its board starting Oct. 1.
January 8
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An Atlanta-based municipal advisor defrauded a Mississippi city and breached its fiduciary duty, the SEC said.
January 5
