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Foley Hoag: Republican State Parties Challenge SEC’s Pay-To-Play Rule.
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Bank Liquidity Rules Seen Cooling Demand for Bonds: Muni Credit.
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BDA Submits Comment Letter to MSRB: Draft Rule G-42, on Duties of Non-Solicitor Municipal Advisors.
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BDA Submits Comment Letter to the SEC: Proposed Amendments to MSRB Rule G-3 on Continuing Education Requirements.
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BDA Submits Comment Letter to the SEC: Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors.
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Appeals Court Validates FERC Regional Planning Mandate as Reasoned Evolution of the Open-Access Electricity Transmission System.
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Dealers Warn New Best-Ex Provisions on SMMPs Costly, Burdensome.
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GFOA Releases More MCDC Guidance.
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MSRB Files Best-Ex Rule With SEC for Approval.
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MSRB Seeks Approval to Establish Best-Execution Rule for Municipal Securities.
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MSRB Pay-to-Play Proposal Would Impact Dealer, Non-Dealer MAs.
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MSRB Requests Comment on Extending its Pay-to-Play Rule to Municipal Advisors.
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Municipal-Debt Rules Proposed to Ensure Best Price Sought.
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SEC Investor Advocate Calls for Municipal Bond Market Reforms.
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Pepper Hamilton: Extended SEC MCDC Initiative Deadline Does Little to Lessen Urgency.
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Best Execution’s Role Unclear.
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MSRB Gives Tech Fees Back.
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MSRB Proposes Transparency Changes.
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MSRB Requests Comment on Extending its Pay-To-Play Rule to Municipal Advisors.
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Foley & Lardner: The MCDC Initiative and Recent Modifications.
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SEC Charges Kansas for Faulty Pension Disclosure.
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WSJ: Kansas Settles Charges it Hid a Risk to Muni Bonds.
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MSRB Requests Comment on Expanding Municipal Securities Trade Data on EMMA.
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MSRB Authorizes Technology Fee Rebate to Firms.
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Deadlines Applicable to Colleges and Universities Approaching for Participation in SEC’s Continuing Disclosure Cooperation Initiative.
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SEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability.
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SEC Approves MSRB Classification Changes.
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MSRB to Propose New Price Transparency Rule.
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NABL Paper on MCDC Materiality.
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MSRB Holds Quarterly Meeting.
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Bill Sets the Stage for Riskless Principal Regs.
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NABL Releases Whitepaper on Considerations for Issuers and Obligated Persons on the Questions of Materiality and Self-reporting for the SEC’s MCDC Initiative.
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SEC Commissioner’s Remarks at the 2014 Municipal Finance Conference.
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MSRB to Amend Professional Qualification Requirements for Dealers.
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Lawyers: MCDC Changes Foster More Tension.
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U.S. SEC’s Piwowar Calls for More Price Transparency for Munibonds.
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SIFMA Commentary: Regulation of MAs: Bring it On.
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SEC Extends MCDC Deadline for Issuers, Tiers Penalty Caps for Underwriters.
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Ballard Spahr: MSRB Seeks Second Round of Comments on Municipal Advisor Conduct Rule.
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Ballard Spahr: Industry Concerns Prompt SEC to Modify MCDC Initiative.
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SEC Enforcement Division Modifies Municipalities Disclosure Initiative.
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SEC Staff Issues Guidance On Verifying Accredited Investor Status.
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MSRB Creates Online Education Center to House Digital Resources About the Municipal Market.
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Hidden Bond Fees Have Regulators Eyeballing Dealers: Muni Week.
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NABL, Other Groups, Send MCDC Recommendations to SEC .
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MSRB Seeks Approval of First MA Rule.
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Muni Groups Make Fresh Push to Limit MCDC.
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MSRB Proposes Revised MA Conduct Rule.
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SEC Finalizes Money Market Fund Rules.
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BDA In the News: BDA, Broker Dealers Have Constructively Engaged on MA Rule.
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MSRB Seeks Approval to Implement Supervision Rule for Municipal Advisors.
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MSRB Requests Comment on Revisions to Draft Rule on Municipal Advisor Standards of Conduct.
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MSRB Seeks to Implement Revised Continuing Education Requirements for Municipal Securities Dealers.
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MSRB Rule Changes Draw Support from SIFMA.
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Rep. Stivers Pushes SEC to Limit MCDC, Warns of Possible Legislation.
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Bond Fee Disclosures Sought by SEC to End 38-Year Debate.
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Investors Pay More for Munis than Dealers, MSRB Report Shows.
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Morrison & Foerster: SEC Staff Provides Rule 506(c) Verification Guidance.
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Drinker Biddle: SEC Resolves First Case Under New Municipalities Continuing Disclosure Cooperation Initiative.
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Overflow Crowd Attends the Muni Bonds 101 Seminar.
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GFOA Offers New Guidance on SEC Self-Reporting Program.
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SEC Charges California School District with Misleading Investors.
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WSJ: SEC in Pact With California School District on Bond Offer.
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Commentary: Law Brings Muni Advisors under SEC-MSRB Umbrella.
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What Governments Need to Know About the New Municipal Advisor Rule.
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Bond Dealers Make New Push to Change Disclosure Program.
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MSRB Marks Milestone in Municipal Market Transparency.
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MSRB Reminder: Resources Available for Municipal Advisors.
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Firms Withdraw as MAs Ahead of Final Rule.
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MSRB Reminds Dealers of July 7, 2014 Effective Date for Fair-Pricing Rule Changes.
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SEC’s Harvey Action Illustrates MCDC Vulnerability for Issuers.
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Ballard Spahr: SEC Announces First Investment Adviser ‘Pay-to-Play’ Enforcement Action.
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NYT: S.E.C. Stops City in Illinois from Selling Municipal Bonds.
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The SEC Halts Fraudulent Bond Offerings in Harvey, Illinois.
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WSJ: SEC Is Gearing Up to Focus on Ratings Firms.
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Panelists Dissect MA, MCDC Impact on Issuers.
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MSRB Reminds Dealers of July 5, 2014 Effective Date for Fair-Dealing Rule Changes.
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Public Pensions Fire Back at SEC.
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NYT: S.E.C. Chief Seeks to Enhance Disclosure in Bond Markets.
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SIFMA Plugs New TOB Structure.
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BDA Sends Letter to SEC; Suggests Modified Approach to MCDC Initiative.
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Web Tool Offers Pricing Information for Municipal Bonds.
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Pair of U.S. Senators Urges Disclosure on Bond Markups.
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Ballard Spahr: SEC Charges Charter School Operator with Disclosure Violations, Suggests It May Charge Individuals.
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MSRB Seeks Approval to Amend Rule G-3 to Eliminate FINOP Requirement and Limit Permissible Series 6 Activities.
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Reminder: Complete New MSRB Registration Form by August 10.
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SEC’s Gaunt Sees Fines for Muni Bond Breaches: Five Questions.
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MSRB to Survey Municipal Advisors on Business Activities.
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NABL Recommends Treasury Revise SLGS Procedures.
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Brokers Under Fire from SEC Over Commissions on Muni-Bond Trades.
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Chicago’s UNO Charter Schools Defrauded Bondholders, SEC Says.
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Hawkins Advisory: SEC Staff Posts Additional FAQs and Related Responses.
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Muni-Bond Buyers May Overpay, SEC’s Gallagher Says.
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MCDC Spurs More Notices of Disclosure Failures.
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Lawmakers Urge Bank Regulators to Rethink Muni Liquidity Proposal.
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Coming Soon: EMMA Price Discovery Tool.
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SEC’s Gallagher Sounds Calls For Pension, OPEB ‘Disclosure Baseline’
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SIFMA Statement from GFOA Conference.
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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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