There is no excerpt because this is a protected post.
MSRB Extends 529 Plan Disclosure Date as Groups Push for More Clarification.
There is no excerpt because this is a protected post.
MSRB Extends Deadline for First Submissions of 529 College Savings Plan Data.
There is no excerpt because this is a protected post.
SEC Makes Point with MCDC Settlements
There is no excerpt because this is a protected post.
New MSRB Rule Will Increase Available Information Regarding Trades of Municipal Securities: Butler Snow
There is no excerpt because this is a protected post.
36 Underwriters to Pay $9.3M to Settle Under SEC MCDC Program.
There is no excerpt because this is a protected post.
GFOA Seeks MA Conduct Rule Changes to Reduce Issuer Costs, Burdens.
There is no excerpt because this is a protected post.
SEC Fines Wall Street’s Top Banks Over Fraudulent Muni Deals.
There is no excerpt because this is a protected post.
NABL: SEC Announces First MCDC Charges.
There is no excerpt because this is a protected post.
New Resource Available for Municipal Advisors Developing Supervisory and Compliance Systems.
There is no excerpt because this is a protected post.
SEC Charges Municipal Underwriters With Making False Statements.
There is no excerpt because this is a protected post.
Voluntary Reporting of Bank Loans – Best Practice or Sword of Damocles?
There is no excerpt because this is a protected post.
MSRB Proposes Easing Independence Standard for Board Member Category.
There is no excerpt because this is a protected post.
MSRB: Content Outline Now Available for Series 50 Professional Qualification Exam.
There is no excerpt because this is a protected post.
Volunteer to Take the Series 50 Pilot Exam.
There is no excerpt because this is a protected post.
MSRB Provides Access to the Full Universe of Disclosures for a Municipal Security.
There is no excerpt because this is a protected post.
Regulators Close In On Bond-Markup Rules.
There is no excerpt because this is a protected post.
Hawkins Advisory (Disclosure by Municipal Issuers).
There is no excerpt because this is a protected post.
Bid-Riggers Lose Appeal in Potentially Far-Reaching Ruling.
There is no excerpt because this is a protected post.
Ex-UBS Execs Lose Appeal of U.S. Municipal Bond-Rigging Convictions.
There is no excerpt because this is a protected post.
SEC’s Olsen: Too Soon for MA Rule Changes.
There is no excerpt because this is a protected post.
GFOA’s Watkins: MCDC Cost Issuers; SEC Initiative ‘An Abuse of Power’.
There is no excerpt because this is a protected post.
NABL Seeks Board Nominees.
There is no excerpt because this is a protected post.
SEC Approves Additional Post-Trade Data Collection.
There is no excerpt because this is a protected post.
MSRB Makes Moody’s Public Finance Ratings Available on EMMA Today.
There is no excerpt because this is a protected post.
The MCDC Initiative: December Was Just The Beginning – Butler Snow
There is no excerpt because this is a protected post.
NASACT Joins Other Groups in Supporting Legislation to Treat Investment Grade Municipal Securities as High Quality Liquid Assets.
There is no excerpt because this is a protected post.
BDA Submits Comment Letter on Proposed Rule G-42 to Establish Core Standards of Conduct for MAs.
There is no excerpt because this is a protected post.
GFOA Leads Effort to Support Legislation to Classify Municipal Securities as High Quality Liquid Assets.
There is no excerpt because this is a protected post.
MSRB to Require Additional Post-Trade Data for Display on EMMA.
There is no excerpt because this is a protected post.
To Disclose Or Not To Disclose – That Is The Bank Loan Question: Butler Snow
There is no excerpt because this is a protected post.
Fed Proposes Limited Muni HQLA Rule.
There is no excerpt because this is a protected post.
Jessica Kane is New SEC Muni Chief; Rebecca Olsen, Deputy.
There is no excerpt because this is a protected post.
Canadian Firm DBRS Plants Its Flag in U.S. Rating Territory.
There is no excerpt because this is a protected post.
MSRB Report: Muni Trades Dip in First Quarter.
There is no excerpt because this is a protected post.
Fed Rule Would Let Banks Hold Some Munis as Crisis Buffer.
There is no excerpt because this is a protected post.
Fed to Allow Some Muni Bonds in Banks’ Liquidity Levels.
There is no excerpt because this is a protected post.
UBS Ordered to Pay Retiree $1 Million Over Puerto Rican Bond Losses.
There is no excerpt because this is a protected post.
Fed Proposes Relaxing Rules Affecting Municipal Bonds.
There is no excerpt because this is a protected post.
Moody’s Public Finance Ratings Coming to MSRB’s EMMA Website on June 1, 2015.
There is no excerpt because this is a protected post.
Ex-Bank of America Executive Gets 26 Months in Prison for Muni Bond Scheme.
There is no excerpt because this is a protected post.
Feds Push to Make All Public Financial Data Open.
There is no excerpt because this is a protected post.
MSRB Proposal to Establish the Standards of Conduct and Duties for Municipal Advisors Published in Federal Register.
There is no excerpt because this is a protected post.
MSRB Report Shows Delayed Disclosures, MCDC Impact.
There is no excerpt because this is a protected post.
New York Gov. Andrew Cuomo Gave Bond Deals To His Wall Street Donors, Despite Federal Rules.
There is no excerpt because this is a protected post.
MSRB Publishes Updated Report on Timing of Annual Financial Disclosures by Issuers of Municipal Securities.
There is no excerpt because this is a protected post.
Bipartisan Bill to Include U.S. Munis as High-Value Assets Introduced.
There is no excerpt because this is a protected post.
Bill Introduced to Require Bank Regulators to Treat Munis as HQLA.
There is no excerpt because this is a protected post.
MSRB To Publish Best Ex Guidance.
There is no excerpt because this is a protected post.
A Cautionary Tale For Bond Buyers.
There is no excerpt because this is a protected post.
MSRB Board of Directors Meeting Summary.
There is no excerpt because this is a protected post.
MSRB Releases Long-Awaited MA Test Outline.
There is no excerpt because this is a protected post.
Katten: Municipal Advisors and “Bank Purchase” Bonds: What’s All the Commotion About?
There is no excerpt because this is a protected post.
MSRB Releases Content Outline for First Municipal Advisor Professional Qualification Exam.
There is no excerpt because this is a protected post.
Dealers Raise Some Concerns About New Trade Data Requirements.
There is no excerpt because this is a protected post.
MSRB Trade-Reporting Proposal Prompts Questions, Concerns.
There is no excerpt because this is a protected post.
MSRB Reminds Municipal Advisors of the April 23, 2015 Effective Date of Amendments to MSRB Rule G-44 on Supervisory and Compliance Obligations.
There is no excerpt because this is a protected post.
Conduct Rule ‘Unclear’ on Underwriters Giving Advisory Services.
There is no excerpt because this is a protected post.
MSRB Files MA Core Conduct Rule With SEC For Approval.
There is no excerpt because this is a protected post.
BDA Submits Comment Letter to MSRB Re: Approval to Enhance Post-Trade Data Available on EMMA.
There is no excerpt because this is a protected post.
New BDA Chair Steve Genyk Talks About Agenda, Priorities.
There is no excerpt because this is a protected post.
SEC Still Greatly Underestimating Burden of Complying with Rule 15c2-12, SIFMA Says.
There is no excerpt because this is a protected post.
MSRB Seeks SEC Approval to Implement Cornerstone Conduct Rule for Municipal Advisors.
There is no excerpt because this is a protected post.
Morgan Stanley Fined $675K Over Muni Interest.
There is no excerpt because this is a protected post.
The Muni Advisor Business: A Story of Explosive Growth and Change.
There is no excerpt because this is a protected post.
BDA Submits Comment Letter: FINRA Proposal to Expand TRACE Dissemination to Additional Securitized Products.
There is no excerpt because this is a protected post.
SIFMA Unveils Model Document for Sophisticated Investors.
There is no excerpt because this is a protected post.
SIFMA Develops Model Sophisticated Municipal Market Professional Affirmation for Institutional Customers.
There is no excerpt because this is a protected post.
Lumesis and Ipreo Announce Partnership to Deliver Time-of-Trade Disclosure Solution.
There is no excerpt because this is a protected post.
McDermott: SEC No-Action Letter Permits Non-ERISA Retirement Plans to Issue Participant Fee Disclosures Without Violating Securities Laws.
There is no excerpt because this is a protected post.
SIFMA Submits Comments to SEC on Placement Agent Activities of Municipal Advisors.
There is no excerpt because this is a protected post.
SIFMA: SEC 15c2-12 Estimates Full of Gross Inaccuracies.
There is no excerpt because this is a protected post.
SIFMA to SEC: No Exemptions for Non-Dealer MAs.
There is no excerpt because this is a protected post.
MSRB Seeks Approval to Enhance Post-Trade Data Available on EMMA.
There is no excerpt because this is a protected post.
The Missing Information That Municipal-Bond Investors Need.
There is no excerpt because this is a protected post.
MSRB Increases Development Fee for Professional Qualification Exams.
There is no excerpt because this is a protected post.
Key Regulator Shows No Sign on Budging on Muni Bank Rule.
There is no excerpt because this is a protected post.
Fight Among Regulators Over Municipal Bonds Could Mean No New School for Your Kid.
There is no excerpt because this is a protected post.
GFOA Survey May Provide MCDC Information.
There is no excerpt because this is a protected post.
Congressman’s Interest in Munis Comes from Experience.
There is no excerpt because this is a protected post.
NABL: More from the SEC.
There is no excerpt because this is a protected post.
Dealer Donations to Mayor’s Fund in LA Legal, But Raise Eyebrows.
There is no excerpt because this is a protected post.
Gallagher: Mandate GASB Standards, Possibly By Linking to Tax-Exempts.
There is no excerpt because this is a protected post.
Jones Day: Ohio Supreme Court Strikes Down a Municipality’s Efforts to Regulate Oil and Gas Production.
There is no excerpt because this is a protected post.
Ballard Spahr: SEC Muni Enforcement Chief Offers Her Views on MCDC.
There is no excerpt because this is a protected post.
FINRA Arbitration Claim Filed on Behalf of Retired Couple for Losses in Puerto Rico Municipal Bonds.
There is no excerpt because this is a protected post.
SEC Turns Up the Heat on Issuer Officials.
There is no excerpt because this is a protected post.
SEC Commish Praises Muni Bond Fraud Enforcement Push.
There is no excerpt because this is a protected post.
SEC Official Eyes Accounting Mandate for Municipal Issuers.
There is no excerpt because this is a protected post.
SEC Gives Dealers 2 Week Window on MCDC Settlements.
There is no excerpt because this is a protected post.
Lawyers Question Rating Disclosure Requirements.
There is no excerpt because this is a protected post.
Yellen: Fed Eyeballs on Large Firms.
There is no excerpt because this is a protected post.
MSRB: Financial Disclosures Way Up, Bank Loans Not so Much.
There is no excerpt because this is a protected post.
MSRB Seen Requiring ATS Pre-Trade Price Disclosures.
There is no excerpt because this is a protected post.
MSRB Creates Professional Qualification Standards for Municipal Advisors.
There is no excerpt because this is a protected post.
Best-Ex Rule Presents Liquidity, Compliance Challenges.
There is no excerpt because this is a protected post.
Moody’s, After Absence, Joins Popular Muni-Bond Database.
There is no excerpt because this is a protected post.
Republicans Skeptical of Puerto Rico Chapter 9 Bill.
There is no excerpt because this is a protected post.
MSRB: Trades Down, Disclosures Up.
There is no excerpt because this is a protected post.
Conduit Issuers, Dealers Face Some MA Challenges.
There is no excerpt because this is a protected post.
Lure of Wall Street Cash Said to Skew Credit Ratings.
There is no excerpt because this is a protected post.
Chapter 9 a ‘Wild West’ Solution for Puerto Rico Agencies: Adviser
There is no excerpt because this is a protected post.
GFOA Issues Survey on SEC MCDC Initiative.
There is no excerpt because this is a protected post.
SEC Closes Investigation into Bell, Calif. Bond Debt.
There is no excerpt because this is a protected post.
SEC Officials Pushing Harsher Penalties, Streamlined Disclosure.
There is no excerpt because this is a protected post.
House Panel to Hold Feb. 26 Hearing on Puerto Rico Bankruptcy Bill.
There is no excerpt because this is a protected post.
Municipal Advisors Concerned About IRMA Exemption.
There is no excerpt because this is a protected post.
Schwab Resolves N.Y.’s 2009 Auction-Rate Securities Suit.
There is no excerpt because this is a protected post.
House Panel to Hear Proposal for Puerto Rico Bankruptcy Protections.
There is no excerpt because this is a protected post.
Robert Fippinger to Join MSRB as Chief Legal Officer.
There is no excerpt because this is a protected post.
Upcoming Deadline for Application to MSRB Board of Directors.
There is no excerpt because this is a protected post.
Bond Industry Struggles Under Regulatory Burden, Experts Say.
There is no excerpt because this is a protected post.
Bank Loan Disclosure Fraught With Uncertainty.
There is no excerpt because this is a protected post.
MSRB Rule G-45 on 529 Plan Data Collection: Upcoming Effective Date and New Manual.
There is no excerpt because this is a protected post.
SEC’s Aguilar Calls for Bold Reforms to U.S. Municipals Market.
There is no excerpt because this is a protected post.
SEC Commissioner Aguilar: Retail Investors Victimized by Lack of Muni Bond Oversight.
There is no excerpt because this is a protected post.
NABL: Looking Again at Rule15c2-12.
There is no excerpt because this is a protected post.
Lawyers Recommend Disclosure Strategies in Wake of MCDC.
There is no excerpt because this is a protected post.
MSRB Updates Market Participants on Progress of Proposed Standards of Conduct for Municipal Advisors.
There is no excerpt because this is a protected post.
SEC Budget Increase Would Bolster Exams.
There is no excerpt because this is a protected post.
Regulators Way Too Easy On Muni Bond Fraudsters.
There is no excerpt because this is a protected post.
MSRB To Seek SEC Approval of MA Gifts Restriction, Test Outline.
There is no excerpt because this is a protected post.
New Best Execution Requirement For Municipal Securities Transactions: Morgan Lewis
There is no excerpt because this is a protected post.
MSRB Holds Quarterly Board Meeting.
There is no excerpt because this is a protected post.
Volcker Delay a Plus for Munis.
There is no excerpt because this is a protected post.
Judge Fines, Sanctions Longtime Harvey Comptroller.
There is no excerpt because this is a protected post.
U.S. Municipal Market Board Takes on Murky Bank Lending.
There is no excerpt because this is a protected post.
Former Illinois Town Official to Pay Steep Penalties in SEC Case.
There is no excerpt because this is a protected post.
Muni Investors Need More Information on Issuers’ Other Debts: Regulator.
There is no excerpt because this is a protected post.
MSRB Again Calls for Enhanced Municipal Market Transparency of Undisclosed Debt.
There is no excerpt because this is a protected post.
MSRB to Discuss MA Exams, Gift Restrictions, Principal Transaction Disclosure.
There is no excerpt because this is a protected post.
Muni Groups: SEC Disclosure Rule Outdated, Needs Overhauling.
There is no excerpt because this is a protected post.
FERC Declares the City Of Boulder Must Seek FERC Approval in Order to Condemn Xcel Transmission Facilities.
There is no excerpt because this is a protected post.
MSRB Urges SEC to Revisit its Municipal Market Disclosure Rule.
There is no excerpt because this is a protected post.
MSRB Board of Directors Meeting Discussion Items.
There is no excerpt because this is a protected post.
Dealers to MSRB: Withdraw Principal Trade Disclosure Proposal.
There is no excerpt because this is a protected post.
MSRB to SEC: Do Comprehensive Review of Rule 15c2-12.
There is no excerpt because this is a protected post.
Proskauer: FINRA’s New Background Investigation Rule Will Likely Increase Firms’ Costs and Potentially Increases Exposure for Firms in Customer Disputes.
There is no excerpt because this is a protected post.
BDA Submits Comment Letters: FINRA and MSRB Proposed Pricing Reference Disclosure Rules.
There is no excerpt because this is a protected post.
SIFMA Supports Increased Bond Market Price Transparency for Investors; Urges Greater Access to and Usage of Existing Data on FINRA and MSRB Systems.
There is no excerpt because this is a protected post.
MSRB Urges SEC to Revisit Its Municipal Market Disclosure Rule.
There is no excerpt because this is a protected post.
Don’t Let Muni-Bond Markups Sap Your Returns.
There is no excerpt because this is a protected post.
Regulators Want Data on Bond-Trade Fees.
There is no excerpt because this is a protected post.
Morgan Keegan Settles Lawsuit Over Failed Missouri Sweetener Plant.
There is no excerpt because this is a protected post.
Bond Dealers of America – 2014 Year in Review.
There is no excerpt because this is a protected post.
Att. Gen’s Brief Supports Town in Prism-Bonds Case.
There is no excerpt because this is a protected post.
SEC Exam Priorities Include Muni Advisors, Retail Investor Protection.
There is no excerpt because this is a protected post.
MSRB: Municipal Financial Disclosures Rise Sharply in 2014.
There is no excerpt because this is a protected post.
MSRB: Board Member Search Emphasizes Pricing and Trading Knowledge.
There is no excerpt because this is a protected post.
Finra to Probe Broker Conflicts When Exchanges Offer Rebates.
There is no excerpt because this is a protected post.
FINRA Lays Out Exam Priorities.
There is no excerpt because this is a protected post.
SIFMA, ICI Urge SEC Not to Approve MSRB Test Proposal.
There is no excerpt because this is a protected post.
SEC Finds Flaws in Credit Rating Agencies.
There is no excerpt because this is a protected post.
Outlook 2015: Another Year of the Muni Advisor?
There is no excerpt because this is a protected post.
MSRB Board of Directors Seeks Applicants.
There is no excerpt because this is a protected post.
NABL MCDC Initiative Observations Survey – Complete by Friday
There is no excerpt because this is a protected post.
MSRB to Begin Accepting Municipal Asset-backed Securities Disclosures on EMMA.
There is no excerpt because this is a protected post.
Discord Brews Over SEC Campaign-Finance Rule.
There is no excerpt because this is a protected post.
Credit Raters Said to Bend Own Rules in Annual SEC Report.
There is no excerpt because this is a protected post.
MSRB Reminds Dealers of the January 1, 2015 Effective Date of Amendments to MSRB Rule G-3 on Firm Element Continuing Education.
There is no excerpt because this is a protected post.
Bankers Brought Rating Agencies ‘To Their Knees’ On Tobacco Bonds.
There is no excerpt because this is a protected post.
SIFMA Commends Passage of Eminent Domain Provision in Spending Bill.
There is no excerpt because this is a protected post.
A New Prosecutorial Frontier – SEC Seeks Bans on Municipal Officials: Burr & Forman.
There is no excerpt because this is a protected post.
Muni Markets: Let the Sun Shine In.
There is no excerpt because this is a protected post.
MSRB Adopts Best-Execution Rule to Enhance Fairness and Efficiency in the Municipal Securities Market.
There is no excerpt because this is a protected post.
SEC Approves Best-Ex Standard.
There is no excerpt because this is a protected post.
Dealers, Non-Dealer Firm Want Changes to Gifts Proposal.
There is no excerpt because this is a protected post.
SIFMA Submits Comment Letter to MSRB on MSRB Rule G-20 relating to Gifts, Gratuities and Non-cash Compensation.
There is no excerpt because this is a protected post.
Congressman Defends Munis to GFOA.
There is no excerpt because this is a protected post.
MSRB Municipal Advisor Review – Winter 2014.
There is no excerpt because this is a protected post.
SIFMA Seeking Legislative “Fix” to MA Rule To Ease Burdens on Underwriters.
There is no excerpt because this is a protected post.
Gallagher: Focus on Pension Disclosure, Add More Muni Staff.
There is no excerpt because this is a protected post.
Illinois City Allowed Back Into the Bond Market.
There is no excerpt because this is a protected post.
U.S. Strikes Deal with Chicago Suburb of Harvey Over Bond Fraud.
There is no excerpt because this is a protected post.
Illinois City Settles With SEC in Muni Bond Fraud Case.
There is no excerpt because this is a protected post.
SEC Raises Pressure on Borrowers as Leniency Ends: Muni Credit.
There is no excerpt because this is a protected post.
MSRB to Make ABS Disclosures Publicly Available Over EMMA in January.
There is no excerpt because this is a protected post.
SEC Seeking Comments on Disclosure Rule.
There is no excerpt because this is a protected post.
MSRB to Accept Disclosures about Municipal Asset-backed Securities.
There is no excerpt because this is a protected post.
Proskauer: Firms Have Roadmap for Expanding Litigation of Customer Disputes After Second Circuit Holds Forum Selection Clauses Trump FINRA’s Mandatory Arbitration Rule.
There is no excerpt because this is a protected post.
GFOA Releases Third and Final Alert on SEC Continuing Disclosure Initiative.
There is no excerpt because this is a protected post.
MSRB and FINRA to Host Webinar on Proposals to Provide Pricing Reference Information to Investors.
There is no excerpt because this is a protected post.
MSRB Proposes Professional Qualification Standards for Municipal Advisors.
There is no excerpt because this is a protected post.
WSJ: Small Towns Go to Bat for Wall Street Banks.
There is no excerpt because this is a protected post.
Schwab in Talks to Resolve Auction-Rate Securites Suit.
There is no excerpt because this is a protected post.
Issuers Head to the MCDC Wire.
There is no excerpt because this is a protected post.
Day Pitney: Mayor Settles SEC Enforcement Action for Municipal Bond Disclosure Violation.
There is no excerpt because this is a protected post.
Many U.S. Muni Bond Issuers, Underwriters Report Rule Violations – SEC.
There is no excerpt because this is a protected post.
New Rules on U.S. Bond Dealer Pay Come Closer to Fruition.
There is no excerpt because this is a protected post.
FINRA and MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income Markets.
There is no excerpt because this is a protected post.
Muni-Bond Buyers May Get More Data on Price Markups.
There is no excerpt because this is a protected post.
NABL Comments in Response to MSRB Regulatory Notice 2014-16.
There is no excerpt because this is a protected post.
Mintz Levin: SEC Introduces “Control Person” Liability as Enforcement Action Weapon in Claim Against Municipal Officer for Misleading Bond Offering Document.
There is no excerpt because this is a protected post.
SEC’s Top Cop: More Muni Enforcement, Not Less.
There is no excerpt because this is a protected post.
Ballard Spahr: SEC Charges City Mayor as a Control Person in Allen Park, Michigan, Enforcement Action.
There is no excerpt because this is a protected post.
MSRB, FINRA Propose Principal Trade Disclosure.
There is no excerpt because this is a protected post.
Michigan City Settles SEC Fraud Charges in Municipal Bond Sale.
There is no excerpt because this is a protected post.
WSJ: SEC Fines Brokerages Over Sale of Puerto Rico Bonds.
There is no excerpt because this is a protected post.
Gallagher: Encourage Electronic Platforms, Avoid Liquidity Cliff.
There is no excerpt because this is a protected post.
Chan Warns Of Secondary Market Crackdown.
There is no excerpt because this is a protected post.