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What MSRB Wants to Change in New Academic Data Product with SEC.
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State Groups Challenging G-37 Ask Court to Consolidate Cases.
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MSRB Reminds Municipal Securities Dealers of July 18, 2016 Effective Date of Changes to Trade Reporting Requirements.
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U.S. Senator Asks SEC to Examine Puerto Rico Debt Negotiations.
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Who Should Police Municipal Markets?
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BDA Submits Comment Letter to SEC on MSRB’s Proposal to Update Close-Out Procedures.
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NABL: House Bill Would Move Fines from MSRB Violations.
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MSRB Seeks Approval to Create Municipal Market Data Product for Academic Researchers.
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MSRB to Launch E-Learning Courses.
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MSRB Notice of Filing of Proposed Rule Change Relating to Content of Municipal Advisor Representative Qualification Examination (Series 50).
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Why SIFMA, BDA Want Shorter Dealer Closeout Timeframes.
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MSRB Adds Economic Calendar to EMMA.
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Hawkins Advisory: MSRB Rule G-42.
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Why the SEC Barred a Former Charter School Operator From the Market.
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SIFMA Submits Comments to the SEC on MSRB Rule G-12 Proposal.
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MSRB: New Rules Coming this Summer.
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MSRB Makes ABLE Offering Documents Available on EMMA.
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SEC: Muni Advisors Acted Deceptively With California School Districts.
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SIFMA: States Can do More to Improve Muni Issuer Disclosure.
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SEC Hits MAs, Execs With $200,000 Fine in First of a Kind Case.
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White: SEC Focused on Possible Puerto Rico Bond-Related Violations.
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Phoenix Investment Firm Probed on Muni-Bond Sales.
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GFOA Issues Alert on MCDC Initiative Settlement Terms for Issuers.
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MSRB Reminds Municipal Advisors of June 23, 2016 Effective Date of New Rule G-42.
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SIFMA Urges SEC to Amend Muni Disclosure Rule & Issue Additional Guidance.
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MSRB: Implications for Supervisory Procedures of Newly Effective Rules.
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GFOA Issues Alert on Rule G-42.
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SIFMA to SEC: It’s Time to Revise Rule 15c2-12 on Muni Disclosure.
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SIFMA: States Can do More to Improve Muni Issuer Disclosure.
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SIFMA Urges SEC to Amend Muni Disclosure Rule & Issue Additional Guidance.
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MSRB Updates Content Outline for Municipal Advisor Qualification Exam.
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SEC Said to Study Muni Bank Loan Disclosure That Vanguard Wants.
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SEC Settles First Muni Advisor Action Under Provisions of Dodd-Frank Act.
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SEC Announces Deal With Two California-Based Municipal Advisory Firms.
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MSRB to Launch Permanent Series 50 Exam September 12, 2016.
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DOJ’s Recent Rulemaking Action for State and Local Government Websites Reveals Its Current Thinking on Web Accessibility.
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Why Market Groups Want MSRB to Abandon Bank Loan Proposal.
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Muni Entities Could Get Rebates, MSRB Says.
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MSRB: Sept. 12 is Date For Permanent MA Qualification Exam.
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The SEC Is AWOL on Puerto Rico.
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How Groups Want To See Minimum Denomination Exceptions Changed.
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How SIFMA Is Helping MAs Before Rule G-42 Implementation.
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NABL: Economic Calendar Coming to EMMA
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BDA Submits Comment Letter to MSRB on Proposed Amendment to Rule G-15(f).
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SIFMA AMG Submits Comments to the MSRB on Concept Proposal to Improve Disclosure of Direct Purchases and Bank Loans.
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SIFMA Submits Comments to the MSRB in Response to Request for Comment on Clarifying Exceptions to Minimum Denomination Rule.
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MSRB: Roles and Responsibilities of the Deal Team.
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FINRA Files Complaint Charging Lawson Financial Corporation, CEO With Fraudulent Municipal Bond Sales, and Charging CEO With Misuse of Customer’s Charitable Trust Funds.
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The Hidden Risks of a Growing Way to Pay for Infrastructure.
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GFOA Alert: Bank Loan Disclosure
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MSRB Seeks SEC Approval of Proposal to Update Close-Out Procedures.
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Seven Accused of Selling Fake Bonds.
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How The MSRB Wants To Change Dealer Closeout Procedures.
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MSRB Publishes Educational Resources on Municipal Advisor Conduct Rule.
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Lessons from Ramapo: Squire Patton Boggs
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MSRB: Trades Up; Disclosure Documents Down in 1Q 2016.
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MCDC’s Appropriateness, Effect on Market Disclosure Debated.
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New York City Speaker Seeks SEC Probe of OppenheimerFunds on Puerto Rico.
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BDA Submits Comment Letter to the SEC: FINRA Rule 4210 “TBA” Margin Amendments.
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MSRB Expands Access To Data Offerings Through Research Platform.
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MSRB Reminds Municipal Advisors and Dealers of the May 6, 2016 Effective Date of Amendments to Gifts Rule.
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MSRB Investor Notice: The Importance of Monitoring Municipal Bonds.
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SEC Approves MSRB Rule Changes For Two-Day Settlements.
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MSRB to Accept Additional Board Applications for Specific Category.
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Stage Set for Shortened Trade Settlement Cycle for Municipal Securities.
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Supreme Court Reinforces Free-Speech Protections for Public Employees.
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MCDC Has Improved Disclosure But Issues Remain.
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Half-Hearted Relief for Munis: The Fed Adopts a Final Rule to Include Certain Municipal Securities as HQLAs Under the LCR Rule.
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SEC Muni Enforcement To Increase Coordination with Justice, FBI.
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MSRB to File Revised Closeout Proposal With SEC, Review Reserve Funds.
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MSRB to Provide Municipal Market Trading Data to Academics Through Wharton Research Service.
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New Chair John Fechter to Help BDA with Full Plate of Issues.
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MSRB Holds Quarterly Board Meeting.
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SIFMA Asks SEC To Update 15c2-12, Create Parallel Rule for MAs.
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MSRB Issues Interpretative Guidance for ABLE Programs.
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MSRB Reminds Municipal Advisors of the April 23, 2016 Effective Date of Amendments to MSRB Rule G-44(d) on Annual Certification Requirements.
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Wall Street Lobbyist Wants Advisers to Vet Bond Disclosures.
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Stadium Financing Deal in N.Y. Town Ends in Fraud Charges.
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NABL: SEC Chair White Testifies in Support of Increased SEC Budget, Praises MCDC.
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New York Suburb, Officials Charged in Landmark Bond Fraud Case.
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MSRB To Weigh Complaints on Proposal to Determine Markups.
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Municipal Bond Market Faces New Pressure.
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Chapman and Cutler: MSRB Proposes Additional Exceptions for Trading Municipal Bonds Below Stated Minimum Denominations.
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MSRB Proposes Clarifying Minimum Denomination Rule Exceptions.
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FINRA Regulatory Notice: Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market.
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Purchasers of ABLE Accounts May Now Be Protected by MSRB Investor Protection Rules.
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NABL: MSRB Seeks Comment on Direct Purchase Disclosure.
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MSRB Seeks Comment on Clarifying Exceptions to Minimum Denomination Rule.
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Fed Rule Treating More Munis as HQLA Seen As Too Restrictive.
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Ellis Straddles the Line Between Politics, Municipal Finance and Public Policy.
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NABL: MSRB, FINRA Notice on “Loan” and “Security”
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MSRB Asks About Requiring MAs to Disclose Bank Loan Info From Issuers.
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Lawyers Call For Challenges to SEC Administrative Proceedings.
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Fed Rule Allows Banks to Use Munis as Part of Crisis Buffer.
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Federal Reserve Issues Final Rule on Banks’ Municipal Bond Holdings.
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MSRB Provides Resources on Puerto Rico Issuers.
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MSRB Seeks Comment on Potential Rulemaking to Improve Transparency of Direct Purchases and Bank Loans.
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Finra Arbitration Panel Orders UBS to Pay for Damages Over Puerto Rico Bond Losses.
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Scalia, Alito Court Absences Shape Puerto Rico Debt-Relief Bid.
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Puerto Rico Gets Mixed Reception at U.S. Supreme Court.
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Sotomayor Helps Puerto Rico Argue Its Bankruptcy Case.
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Puerto Rico Fights for Chapter 9 Bankruptcy in Supreme Court.
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House Introduces Public Employee Pension Transparency Act Bill.
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More Than 1,600 Advisors Take Pilot Municipal Advisor Exam.
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Tax-Exempt Bonds: Post-Issuance Compliance Issues.
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NABL: SEC Charges Municipal Advisor for Failing to Disclose Conflict.
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SEC Approves MSRB Plan To Lengthen Board Terms To Four Years.
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SEC: Don’t Argue About Materiality After MCDC Submission.
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SEC Sues Muni Adviser for Undisclosed Fees Under New Rules.
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Buyers Sing Blues After Memphis Bond Default Goes Unrecognized.
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SEC Reports First ‘Fiduciary’ Settlement Involving Municipal Adviser.
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MSRB Lengthens Board Member Terms of Service.
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SEC: RIEDC, Wells Fargo Defrauded Investors In 38 Studios Deal.
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Fed’s Brainard: Regulation May Hurt Bond Market Liquidity — But it’s Preventing Something Much Worse.
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SIFMA: Cut MSRB’s Proposed Close-Out Period for Muni Trades in Half.
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SEC Issues Record Fine to California’s Largest Agricultural Water District.
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Wells Fargo Charged With Fraud in Video Game Start-Up Case.
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Major California Water District Hit With Rare Federal Fine.
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California Water District Fined by S.E.C. Over ‘Enron Accounting.’
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MSRB Revises Effective Date for Amendments to Transaction Reporting.
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MSRB Seeks Approval to Facilitate Shortening the Settlement Cycle.
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SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering.
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BDA Submits Letter to MSRB on Rule G-12, Modernizing Close-Out Procedures.
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UBS Beats Back $3.5M Arbitration Claim from Client’s Estate.
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Muni Finance Caucus Launched in House.
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Congress Creates Bipartisan Municipal Finance Caucus.
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Washington Battles Over Munis: Safe or Hard to Sell?
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George K. Baum FINRA Case Shows Excessive Fee, Bond Ballot Concerns.
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Six Firms To Pay $103.5M in Preliminary Settlements Over Bid-Rigging.
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Regulators Tone Deaf, Stephens Says.
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George K. Baum Overcharged School District, Regulator Says.
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Bond Dealers Would Have to Report Retail Markups in Finra Plan.
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Smaller Brokerages Band Together to Challenge Regulatory Costs.
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Natixis, Société Générale Settle Municipal Bond Fraud Charges.
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FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income Securities.
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MSRB Launches Outreach Effort for Issuers on the Municipal Securities Market.
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NABL Submits Additional Issue Price Comments.
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Oppenheimer One of 7 Firms FINRA Fines Over Minimum Denominations.
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MSRB Amends its Rule Regarding Calculations for Bonds that Do Not Pay Interest Semi-Annually.
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Initial Support for MSRB Pricing Guidance Proposal.
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Why Do Politicians Care So Much About the Fine Print in Regulators’ Liquidity Requirements for Banks?
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MSRB Publishes Draft Guidance to Support Fair Pricing of Municipal Securities and Dealer Compensation Calculations.
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California Wants More Disclosure From Bond Issuers.
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Groups Threaten to Challenge Constitutionality of Revised G-37.
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New Bond Rules Target Large Broker Fees.
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Municipal Advisors to be Subject to New Pay-to-Play Regulations.
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Muni Groups Mull Using Auditors, EMMA To Boost Disclosure Compliance.
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GFOA Alert Urges Issuers to Prepare for SEC MCDC Settlement Offers.
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GFOA Alert: The SEC MCDC Initiative and Issuer Settlements.
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Richard Ravitch Under Fire For Signing On To Help Puerto Rico.
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MSRB to Seek Public Comments On Prevailing Market Price, Bank Loans.
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14 Underwriters Pay $4.58M to Settle Disclosure Violations Under MCDC.
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MCDC Credited with Boosting Muni Disclosure.
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SEC Fines Municipal-Bond Underwriters for Making False Statements.
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MSRB Holds Quarterly Board Meeting.
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U.S. House Approves Bill to Classify Muni Securities as High Quality Liquid Assets.
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California AG’s Opinion Targets School Bond Practices.
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Financial Crisis Rule May be Relaxed.
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NABL: SEC Announces Final Round of MCDC Underwriter Enforcement Actions.
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MSRB to Seek Public Comments On Prevailing Market Price, Bank Loans.
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Bond Advisors Behaving Badly re: Tax-exempt Bonds.
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Morgan Stanley Paid New Jersey Widow Over Puerto Rico Losses.
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California Muni Dealers Can’t Fund Bond Campaigns to Get Hired.
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MSRB to Offer Continuing Professional Education Credit for Webinars and Events.
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MSRB to Discuss Bank Loans, Markup Disclosure at Meeting.
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Dealer, Advisor Groups Ask for Revisions to MSRB Pay-to-Play Rule.
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BDA Submits Letter to SEC on MSRB Pay-to-Play Rule.
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Confirmation Disclosure and Bank Loans Among Topics at Upcoming MSRB Board Meeting.
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MSRB Sends SEC Revised Proposal to Lengthen Board Terms.
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NABL: SEC Announces 2016 Examination Priorities.
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MSRB’s Net Assets for FY-15 Almost Triple from Five Years Ago.
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New MSRB Notice Summarizes Provisions of Municipal Advisor Conduct Rule.
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MSRB Notice Details MA Conduct Requirements; Webinar Planned.
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State Street Pays $12 Million for SEC’s Pay-to-Play Allegations.
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BDA’s January 2016 Member Fly-in Focused on FINRA 4210 Margin Amendments.
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BDA Submits Comment Letter to SEC in Response to FINRA ATS Trade Reporting Amendments.
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The Tougher U.S. Pension Rules in Puerto Rico’s Rescue Plan.
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The Trials and Tribulations of Auditing Government.
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MSRB Proposes Rule Changes on Interdealer Transaction Failures.
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MSRB Reminds Underwriters of February 29, 2016 Deadline for Submissions of 529 College Savings Plan Data.
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A Growing Conflict in Wall St. Buyouts.
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In Puerto Rico’s Debt Crisis, an Absence of Enforcers.
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MSRB Requests Comment on Modernizing Close-Out Procedures.
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GFOA Secures Wins in End-of-Year Federal Legislation.
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Clock Ticking on Advisors’ Compliance With SEC Pay-to-Play Rules.
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MSRB Seeks Board of Directors Applicants.
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MSRB Reminds Regulated Entities of January 1, 2016 Implementation Date of Underwriting Fee Decrease.
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Dealers Want MSRB, FINRA to Adopt Same, Less Costly Markup Proposals.
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Messer, GFOA Pushing HQLA Bill in Congress.
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Regulators Open to Idea of Special Issue Price Rules for Competitive Deals.
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GFOA: Urge Federal Policy Makers to Classify Municipal Securities as High Quality Liquid Assets!
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Nossaman: Top Public Finance Attorneys Urge Regulatory Changes to Foster More P3’s.
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MSRB to Implement Core Conduct Rule for Municipal Advisors.
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MSRB Seeks SEC Approval of Pay-to-Play Regulations for Municipal Advisors.
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Main Street’s Muni-Market Fight With Fed Gains Force in Congress.
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BDA Proposes Additional Issue Price Safe Harbors.
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Butler Snow: MSRB’s Execution Guidance Under Rule G-18 – Forward With Flexibility.
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U.S. State Treasurers to Seek Banks’ Help on Muni Bond Liquidity Rules.
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Fifteen Groups Urge House to Vote on Pending HQLA Bill.
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