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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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BDA Submits Comment Letter to MSRB Regarding Proposed Amendments to Shorten the Settlement Cycle.
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BDA Submits Comment Letter to FINRA and MSRB on Proposed Retail Markup Disclosure and Pricing Reference Rules.
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SIFMA Submits Comments to the MSRB on Notice 2015-22.
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SIFMA Submits Comments to Congress on CRT.
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Dealer Groups Want SEC to Disapprove MA Conduct Rule.
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NABL: Gift Restrictions Coming in May 2016.
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Moberly, Missouri Class-Action Highlights Underwriters’ Duties in Muni Offerings.
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BDA Submits Letter to SEC Regarding MSRB Amendment #2 to Proposed Rule G-42.
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Ex-JPMorgan Bankers Settle SEC Municipal Bribery Charges.
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SIFMA Submits Comments to the SEC on Proposed New Rule G-42.
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Regulators to Hold Compliance Outreach Program for Municipal Advisors.
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MSRB’s Kelly Highlights Concerns For Retail Muni Investors.
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WilmerHale: BIA Finalizes Reforms for Obtaining Rights of Way on Indian Lands.
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MSRB Announces Members of Investor Advisory Group.
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Why Did It Take So Long to Shut Down Brogdon?
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White Cites Pros and Cons of Hedge Fund Disclosure Bill.
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MSRB Releases Long-Awaited Best Ex Guidance.
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How Much Do You Pay for Muni Trades? Regulators Want You to Know.
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BDA Submits Comment Letter: MSRB Proposal to Lengthen the Term of Board Member Service.
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SIFMA Submits Comments to the MSRB on Regulatory Notice 2015-18 Regarding Amendments to Rule A-3.
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FINRA Publishes Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets.
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MSRB Provides Implementation Guidance on Best-Execution Rule.
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Progress on T+2 Settlement.
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MSRB Issues First-of-a-Kind Compliance Advisory for MAs.
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MSRB Proposes Amendments for Move to T+2 Settlement Cycle.
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MSRB Requests Comment on Shortening the Settlement Cycle for Municipal Securities.
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Municipal Securities Issuers to Face Enforcement Actions.
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SIFMA Applauds Regulatory Action to Support T2 Settlement Cycle.
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Congress Shouldn’t Provide A ‘Super Chapter 9’ Escape For Puerto Rico.
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MSRB Files Amendments to Proposed Rule G-42 to Establish Core Standards of Conduct for Municipal Advisors.
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MSRB Files Exception to MA Conduct Rule’s Principal Transaction Ban.
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Fox Rothschild: Cong. Committee Considers Bill Limiting Eminent Domain for Power-Line Projects.
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Orrick: Obama Administration’s Legislative Proposal to Address Puerto Rico’s Fiscal Crisis.
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MSRB to Implement Gifts Rule for Municipal Advisors.
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Puerto Rico Crisis Spurs U.S. Bill Seeking Hedge Fund Disclosure.
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Bond Dealers of America Hires Federal Policy Advisor.
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Bill Introduced to Require Hedge Funds to Disclose Holdings More Frequently.
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Orrick: Another Round of Favorable SEC Settlements, But Only for Underwriters that Self-Reported.
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Treasury, IRS Seem Open to Changes to Proposed Issue Price Rules.
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SLGS Window to Reopen.
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MSRB Mandates Regulated Entity Participation in Business Continuity Testing.
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Foley & Lardner: Recent MCDC Settlements Provide Guidance Concerning Scope of Materiality in Continuing Disclosure Obligations.
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Municipal Bond Regulator Pushes SEC for Direction on Bank Loans.
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Report: Muni Issuers Haven’t Significantly Improved Audit Times.
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MSRB Holds Quarterly Board Meeting.
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Edward Jones Quits Negotiated Muni Bond Business.
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MSRB Best-Ex Guidance Could Come in Nov.; Board Presses SEC on Bank Loans.
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MSRB Holds Quarterly Board Meeting.
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MSRB Reminds Underwriters of October 28, 2015 Deadline for Submissions of 529 College Savings Plan Data.
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MSRB Extends Deadline for Markup Rule Comments.
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MSRB Announces Regulatory Topics to be Discussed at Upcoming Board Meeting.
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NAMA: Some MSRB Gift Rule Changes Are Unclear or Could Lead to Abuse.
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Update on the SEC’s MCDC Initiative: Ice Miller
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Figure in Troubled Bond Deals Leaves a Company Board.
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Finra Fines Santander Unit Over Puerto Rico Bond Sales.
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SIFMA Submits Comments to the SEC to Delay Effective Date of Best Execution Rule Proposal and Changes to SMMP.
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SIFMA Submits Comment to the SEC on MSRB Rule G-20.
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SEC Official Corrects Municipal Advisor Misconceptions.
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SEC Weighs Providing Legal Guidance on Role of MAs in Bank Loans.
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MSRB Publishes Updated Documents Related to May 2016 Changes to RTRS.
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MSRB Proposes Four-Year Terms for Board Members.
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MSRB Requests Comment on Lengthening Board Member Terms.
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SEC Charges Municipal Underwriters With Making False Statements.
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UBS Unit to Pay $34 Million in Settlements Over Puerto Rico Bond Funds.
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Supreme Court Preview for Local Governments – October 2015
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MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training.
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NABL: SEC Announces Second Round of MCDC Enforcement Actions.
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22 MCDC Settlements With Firms to be Followed by Another Round.
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Orrick: SEC Eliminates References to Credit Ratings in Money Market Fund Rules.
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Key Firms Still Absent From Settlements as NABL Surveys MCDC Aspects.
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Shining A Light On Municipal Bond Markups.
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Butler Snow: Fed’s Proposed Treatment of Municipal Securities as High-Quality Liquid Assets.
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Enrollment Opens for Pilot Series 50 Exam for Municipal Advisors.
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MSRB Requests Comment on Requiring Disclosure of Mark-Ups.
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Lawmakers to Introduce Bill That Subjects Puerto Rico Funds to Federal Regulations.
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Bill Proposed to Give Regulatory Protection to Puerto Rico Mutual Fund Investors.
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SIFMA, NAMA: Pending MSRB Fee Changes Will Be Unfair, Burdensome.
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SIFMA Submits Comments to the SEC on Increased MSRB Technology Fee.
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MSRB: Dealers Would Have to Disclose Markups on Principal Transactions.
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Regulator Revises Proposed Rule on Muni Bond Pricing Disclosure.
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NABL Submits Comments to SEC on MCDC Initiative.
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MSRB Reminds Regulated Entities of October 1, 2015 Implementation Date of Amendments to MSRB Rule A-12 on Registration Fees.
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Muni Distressed Debt Firm Rosemawr Sues Over Revel Energy Bonds.
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MSRB: Consider the Risks and Opportunities of Interest Rate Movement.
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Should High-Risk Speculators in Puerto Rico Bonds Have a Seat at the Restructuring Table?
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SEC Approves Stripping Credit Rating References from MMF Rule.
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Dealers and Academics Square Off Over Data Proposal.
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SEC Urged to Disapprove Rule on MA Core Conduct.
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MSRB to Create Investor Advisory Group.
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SEC Asks: Should Muni Bond Pricing Change in Wake of Edward Jones?
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MSRB: Best-Ex Rule Will Not Be Implemented Before Release of Guidance.
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Nerd-vana: Giving Fellow Reporters Tips on School Bond Sales Statements.
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SEC Won’t Be Pinned Down on MCDC Continuing Disclosure Violations.
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UBS wins Puerto Rico Bond Fund Arbitration After Spate of Losses.
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Orrick: SEC Expands its Focus in the Municipal Bond Market, Bringing First-Ever Charges Against an Underwriter for Pricing Violations Related to Primary Offerings.
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Incoming NABL President Kenneth Artin Discusses Group’s Agenda.
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Bryant Miller Olive Attorney Kenneth Artin Elected President of the National Association of Bond Lawyers.
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BDA Submits Letter to SEC on MSRB Proposed Rule G-42 Regarding the Core Duties of Municipal Advisors.
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Justice’s Antitrust Division Conducting Inquiry Into Muni Bond Pricing.
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DC Circuit Court Rejects Challenge To SEC Pay-To-Play Rule: Womble Carlyle
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SEC Asked to Approve Extension of Gift Rule to Non-Dealer MAs.
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DOJ Investigating Competition In Muni Bond Listing Market.
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U.S. Municipal-Bond Probe Tied to MuniBrokers Said Set to Close.
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BDA Submits Letter to SEC on TRACE ‘No Remuneration’ Indicator.
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MSRB Links Effective Date for Best-Execution Rule to Publication of Guidance.
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MSRB Seeks Approval to Apply its Gifts Rule to Municipal Advisors.
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UBS Unit to Pay More Than $2.9 Million to Investors in Puerto Rico.
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What Happened to Edward Jones and Does it Impact Issue Price?
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Appeals Court Judges Uphold SEC Rule Similar to G-37.
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S.E.C. Settlement With Citigroup Holds No One Responsible.
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MSRB Core Operational Hours.
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MSRB Eases Voluntary Bank Loan Disclosure for Issuers on EMMA.
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NABL Provides Issuers Disclosure Guidance in Wake of SEC Cases.
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MSRB Enables Issuers to Display Bank Loan Disclosures on Customized EMMA Issuer Homepages.
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MSRB Changes MA Conduct Proposal, But Not Principal Transaction Bar.
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Citigroup Companies to Pay $180M Over Hedge Fund Fraud.
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SEC Members Demand Muni Markup Disclosure After Edwards Jones Case.
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MSRB Responds to Comments on Proposed Rule G-42 on Municipal Advisor Duties.
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MSRB to Cut Underwriting Fee; Raise Initial, Annual Fees.
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MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses.
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UBS Fined $750,000 for Misstating Tax-Exempt Bond Interest.
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Municipal Bond Underwriter Didn’t Feel Like Underwriting.
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Observers: SEC Delay on MA Conduct Rule May Foreshadow Changes.
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MSRB to Cut Underwriting Fee; Raise Initial, Annual Fees.
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BDA Testifies Before U.S. Department of Labor on Fiduciary Duty.
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Puerto Rico Investors Win Relief From UBS.
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Edward Jones to Pay $20 Million to Settle SEC Municipal Bond Charges.
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Edward Jones to Pay $20M to Settle Federal Bond Sales Probe.
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MSRB Updates Professional Exams to Include Recent Rule Changes.
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Proposed MSRB Rule G-42 Moves to Additional Phase of Rulemaking.
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Municipal Securities Trading Activity Rises in Second Quarter.
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MSRB Announces New Officers and Board Members for Fiscal Year 2016.
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MSRB Holds Quarterly Meeting.
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MSRB to Revise Proposed Rule on Disclosing Bond Price Markups.
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MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers
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NABL 2015 Nominating Committee Report.
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GFOA Comments on Federal Reserve Proposal to Classify Muni Securities as High Quality Liquid Assets.
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NABL Announces 2015 Award Recipients.
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MSRB Commemorates 40th Anniversary with New Video.
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Dealers, Issuers: Fed Proposal Too Strict on Munis, Would Hurt Market.
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Potential Risks in Voluntary Reporting of Bank Loans.
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MSRB Documents System Hours in EMMA, RTRS and SHORT Information Facilities.
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MSRB Announces Regulatory Topics to be Discussed at Upcoming Board Meeting.
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