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Day Pitney: Disclose Bank Loans to Standard & Poor’s or Risk Rating Withdrawal.
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GFOA, SIFMA to Push for MA Rule Tweak.
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SEC Issues More Muni Advisor FAQs.
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SIFMA Leader Blasts SEC’s MA Rule and MCDC Initiative.
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SIFMA: SEC Should Reject MA Fee; MSRB Should Overhaul Fees.
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BDA Opposes, NAIPFA Supports MA Fees.
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BDA Submits Comment Letter to SEC on MSRB Proposed Rule Change on Assessments for Municipal Advisor Professionals.
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BDA Submits Comment Letter on MSRB Draft Amendments to Rule G-3.
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NFMA Advance Seminar on Municipal High Yield Steering Committee.
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NABL Committee Seeks Board Candidates.
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Asset Managers Might Have to Register as MAs.
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SEC Approves Fair Pricing Rule Consolidation.
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FINRA’s Stance on MA Oversight, Exams.
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SEC: State of the Municipal Markets.
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GFOA Alert: The MA Rule and Issuers.
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SEC Approves Amendments to FINRA Rule 5110.
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UBS Faces $5 Million Class Action Claim on Puerto Rico Bond Funds.
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MSRB Pay-to-Play Proposal for Advisors.
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MSRB: New Fairness and Pricing Efforts.
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MSRB to Consolidate Fair-Pricing Rules for Municipal Securities Dealers.
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MSRB Provides Guidance to Municipal Advisors on Changes to its Registration Process.
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Bond Ratings: Two Sides to Transparency.
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California Ruling Exempts Personal Devices From Open Records Laws – Will It Stand?
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CDO Disclosures Don’t Preclude Citi Fraud Claim: N.Y. Appeals Court.
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SIFMA Finalizes Model Documents for Compliance with Municipal Advisor Rule; Will Host “Muni Advisor Regulation – Implementation and Registration” May 9
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Call for Entries: Municipal Securities Regulation Essay Competition.
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5 Big Compliance Lessons from Recent SEC Cases.
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MSRB Holds Quarterly Meeting.
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Bond Firm’s Gifts to California School Officials Draw Scrutiny.
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Bracewell & Giuliani: SEC Municipalities Continuing Disclosure Cooperation Initiative Targets Issuers and Underwriters with a “Prisoner’s Dilemma”
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BDA Submits Comment Letter on MSRB Draft Rule G-44.
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Non-Dealer MAs: Supervision Rule Could Hurt Market.
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MSRB to Discuss Trade, Best Execution, MA Rules at Meeting.
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Small Issuers Uninformed About MA Rules; Dealers Picking up Slack.
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Orrick: Update on Municipalities Continuing Disclosure Cooperation Initiative.
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MSRB Proposes Professional Qualification Requirements for Municipal Advisors.
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MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals.
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SIFMA Supports Shorter Settlement Cycle for U.S. Equities.
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WSJ: Treasury Turns Its Gaze to Municipal-Bond Market.
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WSJ: Finra Scrutinizes Banks’ Role in Bond Market.
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Citi Analysis Shows Bank Regulators That Most Munis Are Liquid.
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Citi Analyst: Two Options to Save Tender Option Bonds.
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SIFMA Releases Model MA Documents.
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Bartolotta Takes Over as Chair of SIFMA’s Muni Division.
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WSJ: For Munis, SEC Offers Carrot, Threatens Stick.
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Bonds and the BFF Problem.
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Scores of Puerto Rico Trades Sub-$100,000 Voided by Dealers.
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WSJ: SEC Reviewing Municipalities’ Disclosures.
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FINRA Announces Updates of the Interpretations of Financial and Operational Rules.
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SEC OKs FINRA’s New Supervisory Rules.
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SEC Explains Self-Reporting Muni Enforcement Program.
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SEC’s Mary Jo White Directs Staff to Develop Fiduciary Options Document.
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FINRA Examining Puerto Rico Bond Sales; SIFMA Sends Out Notice.
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SIFMA, Chamber Give Thumbs Down to Finra’s Data Collection Proposal.
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SEC Examining Hidden Prices in Bond Trading.
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Finra Says It’s Examining Trading in New Puerto Rico Bonds.
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NABL Submits Comments on MSRB Draft Rule G-42.
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MSRB Proposes MA Qualification Exams.
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Clearing Firms Fear Wall Street Regulator’s Data Proposal.
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Municipal Time of Trade Disclosure & Suitability: A Paper Prepared by Lumesis Inc.
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WSJ: Finra Examining Trading in Puerto Rico Bonds.
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MSRB Proposes Professional Qualification Requirements for Municipal Advisors.
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Dealers Want More Best-Ex Guidance.
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SIFMA to SEC: Don’t Approve MSRB Fair-Pricing Rule.
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SEC Won’t Rewrite Advisor Compliance Rules for Social Media.
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NYT: Financial Adviser Sidesteps Prison in Bond-Rigging Case.
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MSRB to Consolidate Key Fair-Dealing Obligations for Municipal Securities Dealers.
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SEC Urges Muni Issuers, Underwriters to Report Violations.
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Municipal Advisors Seek Changes, Clarifications on MSRB’s MA Rule.
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New SEC Cooperative Enforcement Initiative.
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BDA Members Meet with MSRB & SEC; Discuss SEC’s Municipal Advisor Rule & MSRB’s Regulatory Regime for Municipal Advisors.
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Piowar Wants to Improve Muni Price Transparency.
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FINRA Limits Data Collection Plan, Citing Investor Privacy.
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MSRB to Implement Streamlined Registration Process for Municipal Securities Dealers and Municipal Advisors.
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MSRB Proposes Supervision Rule for Municipal Advisors.
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Why’s the SEC’s New Municipal Advisor Rule So Confusing?
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MSRB to Implement Fee Changes for Data Subscription Products and Services.
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SEC Approves New Rule on 529 Plan Disclosures.
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Bond Dealers of America Holds Legal and Compliance Meeting in Memphis.
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Bank, Trust Officers Warned Of Dodd-Frank Surprises.
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Municipal-Debt Rules Proposed to Ensure Brokers Seek Best Prices: Bloomberg.
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Dealer Groups Unsure About Best Ex Rule Proposal.
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MSRB Receives SEC Approval to Collect Information on Municipal Fund Securities.
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SEC Approves Two Rule Changes Related to FINRA Rule 8312 (FINRA BrokerCheck Disclosure).
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MSRB Requests Comments on First Best-Execution Rule for Municipal Securities Transactions.
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SIFMA Statement on the MSRB’s Proposal to Establish Best-Execution Rule for Municipal Securities Transactions
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Fitch Expects Unwinding, Restructuring of TOB Programs.
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Fed Rule May Curb Bank Buying After Holdings Double: Bloomberg Muni Credit.
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Former Bank of America Executive Pleads Guilty for Role in Conspiracy and Fraud Involving Investment Contracts for Municipal Bonds Proceeds.
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FINRA Agrees to Dump Expungement Agreements.
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FINRA Seeks to Beef up use of BrokerCheck.
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SEC Plans To Act on Many Muni Report Recommendations.
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Groups Urge Bank Regulators To Make Munis High Quality Liquidity Assets.
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EMMAs New Look Coming Tomorrow.
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MSRB Enhances Design of EMMA Website to Improve Access to Municipal Market Information.
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SEC Examining Muni ATS’, Broker’s Brokers For Anti-Competitive Practices.
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FINRA Moves to Allow Arbitrators to Call for Enforcement Midcase.
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MSRB to Propose Best-Execution, MA Rules.
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Reuters: U.S. Municipal Bond Trade Markups Face New Regulatory Scrutiny.
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MSRB Seeks Approval to Streamline and Consolidate Municipal Securities Dealers Fair Pricing Obligations.
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FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market.
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MSRB to Discuss Draft Rules on Best Execution, MA Compliance, Fees.
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SEC Gives U.S. Municipal Advisers Six More Months to Register.
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SEC Sets July 1 as Start of Municipal Advisor Registration.
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U.S. Municipal Advisers get Guidance, but not Delay, on Regulation.
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Volcker, Ravitch Want More Regulation of U.S. Muni Bond Market.
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SEC Eases, Clarifies Muni Adviser Registration Requirements for RIAs, BDs.
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Dealers to MSRB: Reconsider Continuing Education Proposal.
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MSRB Advances Cornerstone of Regulatory Framework for Municipal Advisors with Proposed Rule on Standards of Conduct.
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SIFMA Statement on the MSRB’s Request for Comment on Draft MSRB Rule G-42.
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MSRB Floats Draft Municipal Advisory Conduct Rule.
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MSRB Requests Comment on Draft Rule G-42, on Duties of Non-Solicitor Municipal Advisors.
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MSRB’s First Draft Municipal Advisor Rule Alarms Dealers.
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Asset Managers Want Compliance Delay or Exemption from MA Rule.
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WSJ: Rules to Curb Muni-Bond Advisers.
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FINRA Keeping Pressure on Complex Products in 2014.
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MSRB Publishes 2013 Annual Report and Audited Financial Statements.
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SIFMA: Dealers Not Given Enough Time on MA Rule.
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DTC Backs Off Idea of Per-CUSIP Fees That Had Upset Muni Groups.
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Detroit’s Orr Asked SEC To Probe Swaps.
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WSJ: Wells Fargo Unit Ordered to Buy Back Auction-Rate Securities.
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Miami Loses Bid to Dismiss SEC Fraud Lawsuit.
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FINRA Regulatory, Exam Priorities for 2014 Include Risky Munis, MAs.
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Expect a Lot of Enforcement in 2014, Experts Say.
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FINRA Fines Barclays $3.75 Million for Systemic Record and Email Retention Failures.
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Banks to Revamp Leveraged Muni Funds After Volcker Curbs.
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Volcker Rule Shows Its Wide Reach.
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Outlook 2014: Municipal Advisor Regulation to Dominate 2014.
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SIFMA Releases Best Practices For Broker’s Brokers.
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Public Officials Beware: The SEC Will Hold You Liable.
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NAIPFA Issues MA Rule Guide; GFOA to Offer Training.
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What the Volcker Rule Means for the Municipal Market.
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Dealer Squeeze Could Be Muni Market’s Weakest Link.
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GFOA President Tim Firestine Weighs in on New SEC MA Rule.
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FINRA Solicits Comment on Comprehensive Automated Risk Data System (CARDS) Proposal.
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MSRB Enhances Protections for Investors Against Unexpected Changes to Bond Authorizing Documents.
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MSRB Responds to Adoption of Volcker Rule by Federal Regulators.
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SIFMA Official: SEC Could be Flexible on MA Rule.
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Volcker Rule Shift Lets Banks Continue Muni Bond Speculation.
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MSRB Requests Comment on Continuing Education Proposal for Municipal Securities Dealers.
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Congressman Asks SEC for MA Rule Clarification.
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Oppenheimer’s Sirianni Suspended for Muni-Bond Price Gouging.
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Judge Blocks Auction-Rate Arbitration against Goldman.
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Bank of America Settles Municipal Bond Rigging Lawsuit.
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FINRA Fines Oppenheimer $675,000 and Orders Restitution of More Than $246,000 for Charging Unfair Prices in Municipal Securities Transactions and for Supervisory Violations.
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Ex-GE Bankers Win Reversal of Convictions for Bid-Rigging.
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NYT: Playing Pension Games.
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Obama Threatens to Veto Bill Exempting Private Equity Advisors From Registration.
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SIFMA Submits Comments to SEC on Issues Regarding Securities Industry Processors, Provides Industry Views on Critical Market Structure Reviews.
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MSRB: Advancing Municipal Advisor Regulation.
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5 Big Regulatory Changes Coming in 2014.
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SEC Puts Fiduciary Duty on 2014 Agenda as “Long-term action.”
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DOL Fiduciary Redraft Likely Out by May.
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SEC Loudens Drumbeat On FA Conflict Of Interest, Fee Warnings
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Missouri Brings New Case Against Moberly Bond Underwriter.
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MSRB Provides Education for Issuers on Disclosure of Bond Ballot Campaign Contributions.
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WSJ: SEC Weighs Altering Rule on Private Deals.
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U.S. Court Questions ex-GE Bankers’ Bid-Rigging Convictions.
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MSRB Restates Rule G-29 Interpretive Notice.
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NAIPFA to SEC: MA Rule Won’t Hurt Issuers.
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SEC Investor Advisory Committee to Vote Friday on Fiduciary Plan.
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Use EMMA’s Email Reminder Service for Recurring Financial Disclosures.
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SIFMA Weighing Campaign Against Muni Advisor Rule Provisions.
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SIFMA Keeps Up Push to Delay Suitability Rule Implementation.
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New MSRB Video Addresses Roles in a Municipal Bond Issuance.
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For the SEC, a Continued Focus on the Municipal Bond Market.
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Wenatchee, Wash. Issuer, Others Settle SEC Arena Fraud Case.
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WSJ: SEC Fines a Muni Bond Issuer for First Time; Underwriter Penalized.
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SEC Charges Municipal Issuer in Washington’s Wenatchee Valley Region for Misleading Investors.
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Commentary: Long-Awaited Municipal Advisor Regulation Should Not Restrict Issuers.
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Bingham McCutchen: A Guide to the Re-Proposed Credit Risk Retention Rules for Securitizations.
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Municipal Market Participants Shocked By New LCR Definitions.
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Dealers: Don’t Confuse Investors With Too Much Data.
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Bloomberg: Banks Fret Over Fed’s Planned Liquidity Requirement.
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Reuters: U.S. House Passes Bill to Delay Fiduciary Rules at SEC, Labor Dept.
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SEC Judge Dismisses Commission’s Securities Fraud Suit Against UBS Executives.
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States Increase Scrutiny of Investment Advisers.
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Bond Dealers of America Submits Comment Letter to MSRB Re: Concept Release on a New Central Transparency Platform.
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MSRB Holds Quarterly Meeting.
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MSRB Announces Expanded State Outreach.
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MSRB Prioritizes Best Execution, Fiduciary Duty Rules.
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MSRB Proposal to Consolidate Guidance Under MSRB Rule G-17 Published in Federal Register.
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MSRB Proposal to Amend Rule G-11 Published in Federal Register.
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MSRB Announces Topics For Board Meeting.
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Senator: FINRA Too Weak to Go After Deadbeat Brokers.
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Financial Regulators Propose Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities.
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SIFMA Squares Off with SEC Advisory Group Over Fiduciary Standard.
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MSRB Enhances MyEMMA Search Functionality.
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Chicago’s UNO Charter School Network Under SEC Scrutiny.
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St. Louis Municipal-Bond Underwriter Agreed to Pay-to-Play Fine.
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SEC Wants Muni Underwriters to Stay on Top of Disclosure.
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SEC Official to Muni Underwriters: “Don’t Get Cute.”
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Fiduciary Duty Rule Still in SEC’s Sights, Agency Chair Says.
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MSRB Publishes First Report on Timing of Municipal Bond Annual Financial Disclosures.
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WSJ: FINRA Mulls Insurance for Brokerage Firms.
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MA Rule May Change Dealer Practices.
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Shutdown Delays Advisor Rule Implementation.
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MSRB to Implement Revised Rules Addressing Retail Order Periods.
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Dealers Concerned About MA Rule.
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