Washington

The dealer entered into two municipal bond orders into a recently deceased customer's account.

While the economic indicators released on Thursday suggested a weakening economy, a deeper dive by analysts offers a different view.

Public safety and jail bonds, sinking fund overfunding and variable rate bonds are the top IRS compliance and enforcement priorities for the municipal bond market in fiscal 2020.

While the economy continues to expand “at a slight to modest pace,” those surveyed lowered their outlooks for growth over the coming year, according to the Fed's Beige Book.

The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.

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.

If a majority of the justices find the Oversight Board created by Congress has a primarily federal role, it could do what the hedge funds want and invalidate the board.

The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.

Also revealed is the addition of longtime NABL member Perry Israel to the Edelweiss Fund legal team.

The House Natural Resources Committee, meanwhile, is meeting Oct. 22 to consider removing the infrastructure revitalization section from the federal legislation that established the Puerto Rico Financial Oversight and Management Board.