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Brandon Comer and his firm Comer Capital Group have to pay the sum as part of a final judgment reached in federal court in Illinois.
January 29 -
Interest rates and federal elections hang heavy over the industry and municipal analysts believe certain muni sectors or subsectors will experience credit deterioration.
January 29 -
The proposed amendments, which help to establish a residential supervisory location to help dealers better adapt to a post-COVID world, were approved at the MSRB's quarterly board meeting.
January 26 -
The SEC has settled charges against Aon Investments and in a separate action, a former executive of the firm for misleading the Pennsylvania Public Employees' Retirement System.
January 25 -
The grants are among the most competitive in the Infrastructure Investment and Jobs Act.
January 25 -
A letter co-sgned by Bond Dealers of America and the Securities Industry and Financial Markets Association urges the Municipal Securities Rulemaking Board to institute its 2024 rate card, for fear that reverting back to 2023 levels would be disruptive for dealers.
January 25 -
SIFMA's Leslie Norwood joins Bond Buyer Executive Editor Kyle Glazier for a discussion about the regulatory and legislative outlook for broker-dealers. (17 minutes)
January 23 -
Capital Markets Advisors and its co-principals Richard Ganci and Richard Tortora are caught up in a legal back and forth with the SEC over how MSRB Rule G-42 on conflicts of interest applies to their case.
January 23 -
SEC Muni Office Chief Dave Sanchez gave issuer officials some updates on implementation of the transparency law.
January 23 -
Brightline, a high-profile name in the speculative muni market, is set to come to market next week to remarket $675 million of 2020 bonds.
January 23