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Years after the Securities and Exchange Commission enacted a rule to require floating net asset values, finance officers are fighting the legislative malaise to try to undo it.
October 16
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The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.
October 15
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Also revealed is the addition of longtime NABL member Perry Israel to the Edelweiss Fund legal team.
October 15
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Though many participants were pleased with changes the Municipal Securities Rulemaking Board has proposed for its fair dealing guidance, some worried about new compliance expectations.
October 9
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The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.
October 9
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Administrative failures or a lack of understanding of the rule may be to blame.
October 7 -
Municipal advisors can begin taking their principal exams in November.
October 4
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The Securities and Exchange Commission is seeking comment on exemptive relief for municipal advisors in some activities in private placement deals, eliciting fierce resistance from broker-dealer groups.
October 3
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Issuers look for more options in their private placement deals amid conversation on broker dealers’ and municipal advisors’ roles.
October 3
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The Financial Industry Regulatory Authority previously sanctioned UBS in 2015 for similar violations.
October 2
