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The Securities and Exchange Commission has approved a rule from the Municipal Securities Rulemaking Board that addresses potential conflicts of interest by restricting the gifts and non-cash benefits that non-dealer municipal advisors can give to issuers and others in their professional capacities.
November 9
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Rep. Nydia Velazquez, D- N.Y., introduced a bill Wednesday that would substantially increase hedge fund reporting requirements in response to ongoing concerns about hedge funds' role in Puerto Rico's financial crisis.
November 5
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The House Financial Services Committee approved a bipartisan bill by voice vote on Tuesday that would treat investment grade and actively traded municipal securities as high quality liquid assets under a bank liquidity rule adopted by banking regulators in September of last year.
November 3
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The Municipal Securities Rulemaking Board filed a rule with the Securities and Exchange Commission on Tuesday that would require certain brokers, dealers and municipal advisors registered with the MSRB to participate in its business continuity and disaster recovery testing.
November 3 -
The Administration has concluded that, as part of a comprehensive approach to Puerto Rico's crisis, a tested federal bankruptcy regime is necessary.
November 2
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Financial Industry Regulatory Authority chairman and chief executive officer Richard Ketchum announced Friday he will retire in the second half of 2016.
October 30
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The Municipal Securities Rulemaking Board answered dealer questions and provided guidance on its proposal to require dealers acting to disclose markups and markdowns.
October 30
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Justin Underwood will join Bond Dealers of America on Nov. 16 as federal policy advisor.
October 29
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The Government Finance Officers Association's executive board recently approved two updated disclosure best practice documents designed to help issuers meet their bond-related disclosure requirements while considering the possibilities of website-based and voluntary disclosures.
October 29 -
Issuers should monitor bond activity for compliance violations, an IRS tax law specialist said at a Bond Buyer conference in Providence, R.I.
October 27
