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Dealers Raise Some Concerns About New Trade Data Requirements.
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MSRB Trade-Reporting Proposal Prompts Questions, Concerns.
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MSRB Reminds Municipal Advisors of the April 23, 2015 Effective Date of Amendments to MSRB Rule G-44 on Supervisory and Compliance Obligations.
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Conduct Rule ‘Unclear’ on Underwriters Giving Advisory Services.
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MSRB Files MA Core Conduct Rule With SEC For Approval.
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BDA Submits Comment Letter to MSRB Re: Approval to Enhance Post-Trade Data Available on EMMA.
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New BDA Chair Steve Genyk Talks About Agenda, Priorities.
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SEC Still Greatly Underestimating Burden of Complying with Rule 15c2-12, SIFMA Says.
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MSRB Seeks SEC Approval to Implement Cornerstone Conduct Rule for Municipal Advisors.
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Morgan Stanley Fined $675K Over Muni Interest.
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The Muni Advisor Business: A Story of Explosive Growth and Change.
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BDA Submits Comment Letter: FINRA Proposal to Expand TRACE Dissemination to Additional Securitized Products.
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SIFMA Unveils Model Document for Sophisticated Investors.
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SIFMA Develops Model Sophisticated Municipal Market Professional Affirmation for Institutional Customers.
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Lumesis and Ipreo Announce Partnership to Deliver Time-of-Trade Disclosure Solution.
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McDermott: SEC No-Action Letter Permits Non-ERISA Retirement Plans to Issue Participant Fee Disclosures Without Violating Securities Laws.
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SIFMA Submits Comments to SEC on Placement Agent Activities of Municipal Advisors.
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SIFMA: SEC 15c2-12 Estimates Full of Gross Inaccuracies.
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SIFMA to SEC: No Exemptions for Non-Dealer MAs.
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MSRB Seeks Approval to Enhance Post-Trade Data Available on EMMA.
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The Missing Information That Municipal-Bond Investors Need.
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MSRB Increases Development Fee for Professional Qualification Exams.
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Key Regulator Shows No Sign on Budging on Muni Bank Rule.
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Fight Among Regulators Over Municipal Bonds Could Mean No New School for Your Kid.
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GFOA Survey May Provide MCDC Information.
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Congressman’s Interest in Munis Comes from Experience.
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NABL: More from the SEC.
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Dealer Donations to Mayor’s Fund in LA Legal, But Raise Eyebrows.
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Gallagher: Mandate GASB Standards, Possibly By Linking to Tax-Exempts.
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Jones Day: Ohio Supreme Court Strikes Down a Municipality’s Efforts to Regulate Oil and Gas Production.
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Ballard Spahr: SEC Muni Enforcement Chief Offers Her Views on MCDC.
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FINRA Arbitration Claim Filed on Behalf of Retired Couple for Losses in Puerto Rico Municipal Bonds.
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SEC Turns Up the Heat on Issuer Officials.
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SEC Commish Praises Muni Bond Fraud Enforcement Push.
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SEC Official Eyes Accounting Mandate for Municipal Issuers.
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SEC Gives Dealers 2 Week Window on MCDC Settlements.
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Lawyers Question Rating Disclosure Requirements.
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Yellen: Fed Eyeballs on Large Firms.
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MSRB: Financial Disclosures Way Up, Bank Loans Not so Much.
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MSRB Seen Requiring ATS Pre-Trade Price Disclosures.
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MSRB Creates Professional Qualification Standards for Municipal Advisors.
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Best-Ex Rule Presents Liquidity, Compliance Challenges.
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Moody’s, After Absence, Joins Popular Muni-Bond Database.
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Republicans Skeptical of Puerto Rico Chapter 9 Bill.
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MSRB: Trades Down, Disclosures Up.
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Conduit Issuers, Dealers Face Some MA Challenges.
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Lure of Wall Street Cash Said to Skew Credit Ratings.
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Chapter 9 a ‘Wild West’ Solution for Puerto Rico Agencies: Adviser
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GFOA Issues Survey on SEC MCDC Initiative.
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SEC Closes Investigation into Bell, Calif. Bond Debt.
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SEC Officials Pushing Harsher Penalties, Streamlined Disclosure.
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House Panel to Hold Feb. 26 Hearing on Puerto Rico Bankruptcy Bill.
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Municipal Advisors Concerned About IRMA Exemption.
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Schwab Resolves N.Y.’s 2009 Auction-Rate Securities Suit.
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House Panel to Hear Proposal for Puerto Rico Bankruptcy Protections.
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Robert Fippinger to Join MSRB as Chief Legal Officer.
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Upcoming Deadline for Application to MSRB Board of Directors.
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Bond Industry Struggles Under Regulatory Burden, Experts Say.
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Bank Loan Disclosure Fraught With Uncertainty.
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MSRB Rule G-45 on 529 Plan Data Collection: Upcoming Effective Date and New Manual.
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SEC’s Aguilar Calls for Bold Reforms to U.S. Municipals Market.
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SEC Commissioner Aguilar: Retail Investors Victimized by Lack of Muni Bond Oversight.
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NABL: Looking Again at Rule15c2-12.
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Lawyers Recommend Disclosure Strategies in Wake of MCDC.
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MSRB Updates Market Participants on Progress of Proposed Standards of Conduct for Municipal Advisors.
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SEC Budget Increase Would Bolster Exams.
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Regulators Way Too Easy On Muni Bond Fraudsters.
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MSRB To Seek SEC Approval of MA Gifts Restriction, Test Outline.
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New Best Execution Requirement For Municipal Securities Transactions: Morgan Lewis
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MSRB Holds Quarterly Board Meeting.
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Volcker Delay a Plus for Munis.
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Judge Fines, Sanctions Longtime Harvey Comptroller.
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U.S. Municipal Market Board Takes on Murky Bank Lending.
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Former Illinois Town Official to Pay Steep Penalties in SEC Case.
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Muni Investors Need More Information on Issuers’ Other Debts: Regulator.
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MSRB Again Calls for Enhanced Municipal Market Transparency of Undisclosed Debt.
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MSRB to Discuss MA Exams, Gift Restrictions, Principal Transaction Disclosure.
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Muni Groups: SEC Disclosure Rule Outdated, Needs Overhauling.
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FERC Declares the City Of Boulder Must Seek FERC Approval in Order to Condemn Xcel Transmission Facilities.
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MSRB Urges SEC to Revisit its Municipal Market Disclosure Rule.
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MSRB Board of Directors Meeting Discussion Items.
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Dealers to MSRB: Withdraw Principal Trade Disclosure Proposal.
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MSRB to SEC: Do Comprehensive Review of Rule 15c2-12.
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Proskauer: FINRA’s New Background Investigation Rule Will Likely Increase Firms’ Costs and Potentially Increases Exposure for Firms in Customer Disputes.
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BDA Submits Comment Letters: FINRA and MSRB Proposed Pricing Reference Disclosure Rules.
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SIFMA Supports Increased Bond Market Price Transparency for Investors; Urges Greater Access to and Usage of Existing Data on FINRA and MSRB Systems.
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MSRB Urges SEC to Revisit Its Municipal Market Disclosure Rule.
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Don’t Let Muni-Bond Markups Sap Your Returns.
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Regulators Want Data on Bond-Trade Fees.
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Morgan Keegan Settles Lawsuit Over Failed Missouri Sweetener Plant.
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Bond Dealers of America – 2014 Year in Review.
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Att. Gen’s Brief Supports Town in Prism-Bonds Case.
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SEC Exam Priorities Include Muni Advisors, Retail Investor Protection.
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MSRB: Municipal Financial Disclosures Rise Sharply in 2014.
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MSRB: Board Member Search Emphasizes Pricing and Trading Knowledge.
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Finra to Probe Broker Conflicts When Exchanges Offer Rebates.
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FINRA Lays Out Exam Priorities.
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SIFMA, ICI Urge SEC Not to Approve MSRB Test Proposal.
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SEC Finds Flaws in Credit Rating Agencies.
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Outlook 2015: Another Year of the Muni Advisor?
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MSRB Board of Directors Seeks Applicants.
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NABL MCDC Initiative Observations Survey – Complete by Friday
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MSRB to Begin Accepting Municipal Asset-backed Securities Disclosures on EMMA.
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Discord Brews Over SEC Campaign-Finance Rule.
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Credit Raters Said to Bend Own Rules in Annual SEC Report.
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MSRB Reminds Dealers of the January 1, 2015 Effective Date of Amendments to MSRB Rule G-3 on Firm Element Continuing Education.
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Bankers Brought Rating Agencies ‘To Their Knees’ On Tobacco Bonds.
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SIFMA Commends Passage of Eminent Domain Provision in Spending Bill.
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A New Prosecutorial Frontier – SEC Seeks Bans on Municipal Officials: Burr & Forman.
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Muni Markets: Let the Sun Shine In.
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MSRB Adopts Best-Execution Rule to Enhance Fairness and Efficiency in the Municipal Securities Market.
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SEC Approves Best-Ex Standard.
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Dealers, Non-Dealer Firm Want Changes to Gifts Proposal.
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SIFMA Submits Comment Letter to MSRB on MSRB Rule G-20 relating to Gifts, Gratuities and Non-cash Compensation.
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Congressman Defends Munis to GFOA.
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MSRB Municipal Advisor Review – Winter 2014.
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SIFMA Seeking Legislative “Fix” to MA Rule To Ease Burdens on Underwriters.
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Gallagher: Focus on Pension Disclosure, Add More Muni Staff.
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Illinois City Allowed Back Into the Bond Market.
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U.S. Strikes Deal with Chicago Suburb of Harvey Over Bond Fraud.
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Illinois City Settles With SEC in Muni Bond Fraud Case.
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SEC Raises Pressure on Borrowers as Leniency Ends: Muni Credit.
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MSRB to Make ABS Disclosures Publicly Available Over EMMA in January.
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SEC Seeking Comments on Disclosure Rule.
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MSRB to Accept Disclosures about Municipal Asset-backed Securities.
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Proskauer: Firms Have Roadmap for Expanding Litigation of Customer Disputes After Second Circuit Holds Forum Selection Clauses Trump FINRA’s Mandatory Arbitration Rule.
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GFOA Releases Third and Final Alert on SEC Continuing Disclosure Initiative.
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MSRB and FINRA to Host Webinar on Proposals to Provide Pricing Reference Information to Investors.
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MSRB Proposes Professional Qualification Standards for Municipal Advisors.
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WSJ: Small Towns Go to Bat for Wall Street Banks.
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Schwab in Talks to Resolve Auction-Rate Securites Suit.
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Issuers Head to the MCDC Wire.
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Day Pitney: Mayor Settles SEC Enforcement Action for Municipal Bond Disclosure Violation.
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Many U.S. Muni Bond Issuers, Underwriters Report Rule Violations – SEC.
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New Rules on U.S. Bond Dealer Pay Come Closer to Fruition.
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FINRA and MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income Markets.
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Muni-Bond Buyers May Get More Data on Price Markups.
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NABL Comments in Response to MSRB Regulatory Notice 2014-16.
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Mintz Levin: SEC Introduces “Control Person” Liability as Enforcement Action Weapon in Claim Against Municipal Officer for Misleading Bond Offering Document.
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SEC’s Top Cop: More Muni Enforcement, Not Less.
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Ballard Spahr: SEC Charges City Mayor as a Control Person in Allen Park, Michigan, Enforcement Action.
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MSRB, FINRA Propose Principal Trade Disclosure.
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Michigan City Settles SEC Fraud Charges in Municipal Bond Sale.
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WSJ: SEC Fines Brokerages Over Sale of Puerto Rico Bonds.
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Gallagher: Encourage Electronic Platforms, Avoid Liquidity Cliff.
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Chan Warns Of Secondary Market Crackdown.
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MSRB Holds Quarterly Board Meeting.
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Municipal Bond Advisers Face Curb on Local Political Donations.
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BDA Sends Letter to SEC on SMMP Exceptions, Requests Bifurcated Affirmation Process
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SEC Approves MA Supervision Rule.
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SEC’s Cross Says Shine a Light on Tax-Free Market: Muni Credit.
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Dealers to MSRB: Finish MA Rules, Cut Costs.
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MSRB Creates Supervision and Compliance Requirements for Municipal Advisors.
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MSRB Proposes Gift Limit for MAs.
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SEC Proposal to Remove Rating References From MMF Rule Sparks Concerns.
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SEC Trumpets Record Enforcement Year.
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BDA Sends Letter to SEC & MSRB: Urges Closer Look at Non-Dealer Placement Activities.
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BDA Submits Comment Letter – MSRB 2015 Strategic Priorities.
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MSRB Requests Comment on Extending Gifts Rule to Municipal Advisors.
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MSRB Announces Regulatory Topics to be Discussed at Upcoming Board Meeting.
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MSRB Invites Municipal Securities Investors to Education Video Series: Diving Into the Documents.
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NABL Summary of Viewpoints on MCDC Now Available.
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State, Local Groups – Make Muni HQLA Case.
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SIFMA Suggests HQLA Change.
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Goldsholle to Leave MSRB.
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BDA Submits Comment Letter to MSRB on Rule G-37.
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MSRB Strengthens Continuing Education Requirements for Municipal Securities Dealers.
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SEC Concerned About MA Registration and Misuse of IRMA Designation.
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Wall Street Watchdog Taps 800 Arbitrators to Hear Puerto Rico Bond Cases.
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Regulators Open Registration for MA Compliance Outreach Program.
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Dealers: Raise Limit in G-37 Proposal for MAs.
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Piwowar Doubts Need for Fiduciary Standard.
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SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors.
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Dealers Want SEC to Delay Consideration of SMMP Changes.
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Dealers: Transparency Proposals Very Costly.
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SCOTUS May Weigh In On Right To Arbitration.
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MSRB Reminds Dealers of September 30, 2014 Effective Date for Amendments to Rules G-3, G-7 and G-27.
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New Bank Rule Would be Costly for Cities, States.
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Ballard Spahr: SEC Enforcement Round-Up, 2014 to Date.
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Striking a Balance on Muni Bonds.
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Future MCDC Settlements May Be More Detailed.
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Quick-Turn Bond Brokers Would Disclose Profits Under Finra Plan.
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SEC Could Halt Muni Bond Sales.
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Treasury’s Hiteshew Warns of Heightened Scrutiny for Munis.
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U.S. Treasury Will Monitor Bank Liquidity Rule’s Impact on Munis- Official.
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SEC’s Gallagher Calls for Reforms in Fixed Income Markets.
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Orrick: FERC Proposes to Streamline Market-Based Rate Program.
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MSRB Provides New Resources on Disclosures Made to Municipal Bondholders.
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SEC Complaint Filed in Braves Bond Issuance.
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Advisor Groups Push For Clarity In Municipal Market Rules.
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BofA Sees Limited Harm To Munis From New Bank Liquidity Rule.
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Judge Mulls SEC Limits on Political Donations.
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Moody’s: Exclusion of Munis as HQLAs a Credit Negative.
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Many Underwriters Reported Deals by MCDC Deadline.
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Schumer Urges Regulators to Include Munis in Liquidity Rule.
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WSJ: Regulators Open to Counting Muni Bonds in Bank Assets.
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MSRB Proposal to Establish Best-Execution Rule Published in Federal Register.
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MSRB Seeks Input on Strategic Priorities.
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Fed: Some Munis May Become HQLA in Liquidity Rule.
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