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The Financial Industry Regulatory Authority fined four firms and two individuals a total of $270,000 for violations of municipal securities rules, FINRA announced this month.
August 19 -
Detroit's Chapter 9 filing may be "a game changer" that resolves controversial issues that have not been dealt with in prior cases, according to paper on muni defaults from the Bond Dealers of America.
August 15 -
Michael Piwowar has officially joined joined the Securities and Exchange Commission after taking the oath as its newest commissioner Thursday.
August 15 -
Officials overseeing bankrupt JeffCo get a lesson in "disclosure responsibilities" from disclosure expert John McNally, a partner at Hawkins, Delafield, & Wood.
August 15 -
Issuers, non-dealer municipal advisors, and financial reform advocates are upset that the Municipal Securities Rulemaking Board' "public members" continue to have close ties to dealer firms, complaining this undermines the Dodd-Frank Act intent that the board be majority public.
August 15 -
Seeking to avoid the implementation of further continuing disclosure regulations, the National Association of State Auditors, Comptrollers, and Treasurers has released new best practices urging state governments to voluntarily disclose nearly all financial and economic data.
August 14 -
The National Association of Bond Lawyers has announced a slate of officer and director nominees the group will vote on at NABL's annual meeting Sept. 25 in Chicago.
August 13
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The Municipal Securities Rulemaking Board has released a continuing disclosure guide providing issuers with a road map of their obligations under MSRB rules, citing a slew of recent federal enforcement actions in which issuers sometimes failed to file the required information.
August 12 -
Kara Stein took her oath as the newest member of the Securities and Exchange Commission Friday, bringing to a close the SEC career of Elisse Walter.
August 9 -
The Bond Dealers of America will issue a report on municipal bankruptcy in the wake of Detroit's filing last month, and will also release a best execution proposal for the municipal market, the group's leaders recently said.
August 9
