There is no excerpt because this is a protected post.
Reuters: U.S. Municipal Bond Trade Markups Face New Regulatory Scrutiny.
There is no excerpt because this is a protected post.
MSRB Seeks Approval to Streamline and Consolidate Municipal Securities Dealers Fair Pricing Obligations.
There is no excerpt because this is a protected post.
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market.
There is no excerpt because this is a protected post.
MSRB to Discuss Draft Rules on Best Execution, MA Compliance, Fees.
There is no excerpt because this is a protected post.
SEC Gives U.S. Municipal Advisers Six More Months to Register.
There is no excerpt because this is a protected post.
SEC Sets July 1 as Start of Municipal Advisor Registration.
There is no excerpt because this is a protected post.
U.S. Municipal Advisers get Guidance, but not Delay, on Regulation.
There is no excerpt because this is a protected post.
Volcker, Ravitch Want More Regulation of U.S. Muni Bond Market.
There is no excerpt because this is a protected post.
SEC Eases, Clarifies Muni Adviser Registration Requirements for RIAs, BDs.
There is no excerpt because this is a protected post.
Dealers to MSRB: Reconsider Continuing Education Proposal.
There is no excerpt because this is a protected post.
MSRB Advances Cornerstone of Regulatory Framework for Municipal Advisors with Proposed Rule on Standards of Conduct.
There is no excerpt because this is a protected post.
SIFMA Statement on the MSRB’s Request for Comment on Draft MSRB Rule G-42.
There is no excerpt because this is a protected post.
MSRB Floats Draft Municipal Advisory Conduct Rule.
There is no excerpt because this is a protected post.
MSRB Requests Comment on Draft Rule G-42, on Duties of Non-Solicitor Municipal Advisors.
There is no excerpt because this is a protected post.
MSRB’s First Draft Municipal Advisor Rule Alarms Dealers.
There is no excerpt because this is a protected post.
Asset Managers Want Compliance Delay or Exemption from MA Rule.
There is no excerpt because this is a protected post.
WSJ: Rules to Curb Muni-Bond Advisers.
There is no excerpt because this is a protected post.
FINRA Keeping Pressure on Complex Products in 2014.
There is no excerpt because this is a protected post.
MSRB Publishes 2013 Annual Report and Audited Financial Statements.
There is no excerpt because this is a protected post.
SIFMA: Dealers Not Given Enough Time on MA Rule.
There is no excerpt because this is a protected post.
DTC Backs Off Idea of Per-CUSIP Fees That Had Upset Muni Groups.
There is no excerpt because this is a protected post.
Detroit’s Orr Asked SEC To Probe Swaps.
There is no excerpt because this is a protected post.
WSJ: Wells Fargo Unit Ordered to Buy Back Auction-Rate Securities.
There is no excerpt because this is a protected post.
Miami Loses Bid to Dismiss SEC Fraud Lawsuit.
There is no excerpt because this is a protected post.
FINRA Regulatory, Exam Priorities for 2014 Include Risky Munis, MAs.
There is no excerpt because this is a protected post.
Expect a Lot of Enforcement in 2014, Experts Say.
There is no excerpt because this is a protected post.
FINRA Fines Barclays $3.75 Million for Systemic Record and Email Retention Failures.
There is no excerpt because this is a protected post.
Banks to Revamp Leveraged Muni Funds After Volcker Curbs.
There is no excerpt because this is a protected post.
Volcker Rule Shows Its Wide Reach.
There is no excerpt because this is a protected post.
Outlook 2014: Municipal Advisor Regulation to Dominate 2014.
There is no excerpt because this is a protected post.
SIFMA Releases Best Practices For Broker’s Brokers.
There is no excerpt because this is a protected post.
Public Officials Beware: The SEC Will Hold You Liable.
There is no excerpt because this is a protected post.
NAIPFA Issues MA Rule Guide; GFOA to Offer Training.
There is no excerpt because this is a protected post.
What the Volcker Rule Means for the Municipal Market.
There is no excerpt because this is a protected post.
Dealer Squeeze Could Be Muni Market’s Weakest Link.
There is no excerpt because this is a protected post.
GFOA President Tim Firestine Weighs in on New SEC MA Rule.
There is no excerpt because this is a protected post.
FINRA Solicits Comment on Comprehensive Automated Risk Data System (CARDS) Proposal.
There is no excerpt because this is a protected post.
MSRB Enhances Protections for Investors Against Unexpected Changes to Bond Authorizing Documents.
There is no excerpt because this is a protected post.
MSRB Responds to Adoption of Volcker Rule by Federal Regulators.
There is no excerpt because this is a protected post.
SIFMA Official: SEC Could be Flexible on MA Rule.
There is no excerpt because this is a protected post.
Volcker Rule Shift Lets Banks Continue Muni Bond Speculation.
There is no excerpt because this is a protected post.
MSRB Requests Comment on Continuing Education Proposal for Municipal Securities Dealers.
There is no excerpt because this is a protected post.
Congressman Asks SEC for MA Rule Clarification.
There is no excerpt because this is a protected post.
Oppenheimer’s Sirianni Suspended for Muni-Bond Price Gouging.
There is no excerpt because this is a protected post.
Judge Blocks Auction-Rate Arbitration against Goldman.
There is no excerpt because this is a protected post.
Bank of America Settles Municipal Bond Rigging Lawsuit.
There is no excerpt because this is a protected post.
FINRA Fines Oppenheimer $675,000 and Orders Restitution of More Than $246,000 for Charging Unfair Prices in Municipal Securities Transactions and for Supervisory Violations.
There is no excerpt because this is a protected post.
Ex-GE Bankers Win Reversal of Convictions for Bid-Rigging.
There is no excerpt because this is a protected post.
NYT: Playing Pension Games.
There is no excerpt because this is a protected post.
Obama Threatens to Veto Bill Exempting Private Equity Advisors From Registration.
There is no excerpt because this is a protected post.
SIFMA Submits Comments to SEC on Issues Regarding Securities Industry Processors, Provides Industry Views on Critical Market Structure Reviews.
There is no excerpt because this is a protected post.
MSRB: Advancing Municipal Advisor Regulation.
There is no excerpt because this is a protected post.
5 Big Regulatory Changes Coming in 2014.
There is no excerpt because this is a protected post.
SEC Puts Fiduciary Duty on 2014 Agenda as “Long-term action.”
There is no excerpt because this is a protected post.
DOL Fiduciary Redraft Likely Out by May.
There is no excerpt because this is a protected post.
SEC Loudens Drumbeat On FA Conflict Of Interest, Fee Warnings
There is no excerpt because this is a protected post.
Missouri Brings New Case Against Moberly Bond Underwriter.
There is no excerpt because this is a protected post.
MSRB Provides Education for Issuers on Disclosure of Bond Ballot Campaign Contributions.
There is no excerpt because this is a protected post.
WSJ: SEC Weighs Altering Rule on Private Deals.
There is no excerpt because this is a protected post.
U.S. Court Questions ex-GE Bankers’ Bid-Rigging Convictions.
There is no excerpt because this is a protected post.
MSRB Restates Rule G-29 Interpretive Notice.
There is no excerpt because this is a protected post.
NAIPFA to SEC: MA Rule Won’t Hurt Issuers.
There is no excerpt because this is a protected post.
SEC Investor Advisory Committee to Vote Friday on Fiduciary Plan.
There is no excerpt because this is a protected post.
Use EMMA’s Email Reminder Service for Recurring Financial Disclosures.
There is no excerpt because this is a protected post.
SIFMA Weighing Campaign Against Muni Advisor Rule Provisions.
There is no excerpt because this is a protected post.
SIFMA Keeps Up Push to Delay Suitability Rule Implementation.
There is no excerpt because this is a protected post.
New MSRB Video Addresses Roles in a Municipal Bond Issuance.
There is no excerpt because this is a protected post.
For the SEC, a Continued Focus on the Municipal Bond Market.
There is no excerpt because this is a protected post.
Wenatchee, Wash. Issuer, Others Settle SEC Arena Fraud Case.
There is no excerpt because this is a protected post.
WSJ: SEC Fines a Muni Bond Issuer for First Time; Underwriter Penalized.
There is no excerpt because this is a protected post.
SEC Charges Municipal Issuer in Washington’s Wenatchee Valley Region for Misleading Investors.
There is no excerpt because this is a protected post.
Commentary: Long-Awaited Municipal Advisor Regulation Should Not Restrict Issuers.
There is no excerpt because this is a protected post.
Bingham McCutchen: A Guide to the Re-Proposed Credit Risk Retention Rules for Securitizations.
There is no excerpt because this is a protected post.
Municipal Market Participants Shocked By New LCR Definitions.
There is no excerpt because this is a protected post.
Dealers: Don’t Confuse Investors With Too Much Data.
There is no excerpt because this is a protected post.
Bloomberg: Banks Fret Over Fed’s Planned Liquidity Requirement.
There is no excerpt because this is a protected post.
Reuters: U.S. House Passes Bill to Delay Fiduciary Rules at SEC, Labor Dept.
There is no excerpt because this is a protected post.
SEC Judge Dismisses Commission’s Securities Fraud Suit Against UBS Executives.
There is no excerpt because this is a protected post.
States Increase Scrutiny of Investment Advisers.
There is no excerpt because this is a protected post.
Bond Dealers of America Submits Comment Letter to MSRB Re: Concept Release on a New Central Transparency Platform.
There is no excerpt because this is a protected post.
MSRB Holds Quarterly Meeting.
There is no excerpt because this is a protected post.
MSRB Announces Expanded State Outreach.
There is no excerpt because this is a protected post.
MSRB Prioritizes Best Execution, Fiduciary Duty Rules.
There is no excerpt because this is a protected post.
MSRB Proposal to Consolidate Guidance Under MSRB Rule G-17 Published in Federal Register.
There is no excerpt because this is a protected post.
MSRB Proposal to Amend Rule G-11 Published in Federal Register.
There is no excerpt because this is a protected post.
MSRB Announces Topics For Board Meeting.
There is no excerpt because this is a protected post.
Senator: FINRA Too Weak to Go After Deadbeat Brokers.
There is no excerpt because this is a protected post.
Financial Regulators Propose Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities.
There is no excerpt because this is a protected post.
SIFMA Squares Off with SEC Advisory Group Over Fiduciary Standard.
There is no excerpt because this is a protected post.
MSRB Enhances MyEMMA Search Functionality.
There is no excerpt because this is a protected post.
Chicago’s UNO Charter School Network Under SEC Scrutiny.
There is no excerpt because this is a protected post.
St. Louis Municipal-Bond Underwriter Agreed to Pay-to-Play Fine.
There is no excerpt because this is a protected post.
SEC Wants Muni Underwriters to Stay on Top of Disclosure.
There is no excerpt because this is a protected post.
SEC Official to Muni Underwriters: “Don’t Get Cute.”
There is no excerpt because this is a protected post.
Fiduciary Duty Rule Still in SEC’s Sights, Agency Chair Says.
There is no excerpt because this is a protected post.
MSRB Publishes First Report on Timing of Municipal Bond Annual Financial Disclosures.
There is no excerpt because this is a protected post.
WSJ: FINRA Mulls Insurance for Brokerage Firms.
There is no excerpt because this is a protected post.
MA Rule May Change Dealer Practices.
There is no excerpt because this is a protected post.
Shutdown Delays Advisor Rule Implementation.
There is no excerpt because this is a protected post.
MSRB to Implement Revised Rules Addressing Retail Order Periods.
There is no excerpt because this is a protected post.
Dealers Concerned About MA Rule.
There is no excerpt because this is a protected post.
SIFMA to SEC: MSRB Proposals Too Burdensome.
There is no excerpt because this is a protected post.
Lumesis Releases Whitepaper on Municipal Market Time of Trade Disclosure Obligations.
There is no excerpt because this is a protected post.
SEC Official Says Public Pension Disclosures Remain Under Scrutiny.
There is no excerpt because this is a protected post.
Update on MSRB 529 Plan Rule Proposal.
There is no excerpt because this is a protected post.
MSRB Files with SEC Proposed Rule Change to MSRB Rule G-11 on Bondholder Consents.
There is no excerpt because this is a protected post.
SEC Urged to Exempt Muni MMFs From Proposed Reforms.
There is no excerpt because this is a protected post.
SEC Unanimously Adopts Final Muni Advisor Rules.
There is no excerpt because this is a protected post.
MSRB Responds to SEC’s Approval of Final Registration Rule for Municipal Advisors.
There is no excerpt because this is a protected post.
MSRB Seeks Approval to Consolidate and Harmonize Fair Dealing Obligations for Municipal Securities Dealers.
There is no excerpt because this is a protected post.
SEC MA Rule Mostly Applauded.
There is no excerpt because this is a protected post.
Lawmakers Lobby Newest SEC Commissioners Over Muni Advisors.
There is no excerpt because this is a protected post.
Commission Charges Operator of Miami-Dade County’s Largest Hospital with Misleading Investors about Financial Condition.
There is no excerpt because this is a protected post.
SIFMA and GFOA Submit Comments to SEC Regarding Proposal to Amend MSRB Rules G-8, G-11 and G-32 in regards to Retail Order Periods.
There is no excerpt because this is a protected post.
Miami Settlement Unlikely.
There is no excerpt because this is a protected post.
Fidelity: Money Market Reform Could Hike Muni Borrowing Costs.
There is no excerpt because this is a protected post.
Social Media Privacy Bills May Hinder Advisor Compliance.
There is no excerpt because this is a protected post.
MSRB Files with SEC Revised Amendments to MSRB Rules on Retail Order Periods.
There is no excerpt because this is a protected post.
WSJ: Muni Advisers Face Tougher SEC Rules.
There is no excerpt because this is a protected post.
Bond Dealers of America Sends Comment Letter to SEC Study Regarding Obligations of Brokers, Dealers, and Investment Advisers.
There is no excerpt because this is a protected post.
Gallagher’s ‘Blood Oath’ to Keep Focus on Munis.
There is no excerpt because this is a protected post.
National Federation of Municipal Analysts submits comment to the SEC on Proposed Rule Change to Amend MSRB Rule A-3.
There is no excerpt because this is a protected post.
FINRA Fines Morgan Stanley $1M for Unfair Pricing.
There is no excerpt because this is a protected post.
FINRA Fines Four Firms, Two Individuals $270,000 For Muni Violations.
There is no excerpt because this is a protected post.
MSRB Reminds Dealers of August 22, 2013 Effective Date for Amendments to Rule G-39.
There is no excerpt because this is a protected post.
SIFMA Launches Broker Protocol Information.
There is no excerpt because this is a protected post.
MSRB: Request for Comment on Proposed Rule Change to Consolidate Registration Requirements.
There is no excerpt because this is a protected post.
MSRB Showcases EMMA Resources for Investors in New Video.
There is no excerpt because this is a protected post.
MSRB Publishes Notice Regarding Policy on Interpretive Guidance.
There is no excerpt because this is a protected post.
Commission Adopts Amendments to Financial Responsibility Rules for Broker-Dealers.
There is no excerpt because this is a protected post.
Commission Adopts Rules to Increase Protections for Investors with Assets Being Held By Broker-Dealers.
There is no excerpt because this is a protected post.
Senate Democrats Urge Delay in Labor Fiduciary-Duty Rules.
There is no excerpt because this is a protected post.
MSRB Requests Comment on Whether to Require Dealers to Adopt a “Best Execution” Standard for Municipal Securities Transactions.
There is no excerpt because this is a protected post.
MSRB Requests Comment on Proposed Fair-Pricing Rule.
There is no excerpt because this is a protected post.
SEC’s Aguilar: Custody Rules Won’t Burden Brokers.
There is no excerpt because this is a protected post.
House Democrat Introduces Bill to End Mandatory Arbitration.
There is no excerpt because this is a protected post.
SEC Charges Underwriter, Issuer Over Disclosure.
There is no excerpt because this is a protected post.
SEC Charges School District and Muni Bond Underwriter in Indiana with Defrauding Investors.
There is no excerpt because this is a protected post.
MSRB Seeks Input on Potential Enhancements to Price Transparency in the Municipal Market.
There is no excerpt because this is a protected post.
SEC Final Rules Update: Financial Responsibility Rules for Broker-Dealers.
There is no excerpt because this is a protected post.
SEC Final Rules Update: Broker-Dealer Reports.
There is no excerpt because this is a protected post.
WSJ: Search for Muni-Bond Guidepost Sputters.
There is no excerpt because this is a protected post.
Commission Charges City of Miami and Former Budget Director with Municipal Bond Offering Fraud.
There is no excerpt because this is a protected post.
Miami Case Shows SEC Increasingly Targeting Individuals; Willing to Fine Cities.
There is no excerpt because this is a protected post.
SIFMA Proposes ‘Execution With Diligence’ Standard for Municipal Trading
There is no excerpt because this is a protected post.
SIFMA Proposes Muni Trade Standard; Wants MSRB to Seek Public Input.
There is no excerpt because this is a protected post.
Ex-UBS Muni Derivative Desk Head Ghavami Gets 18 Months.
There is no excerpt because this is a protected post.
MSRB Holds Quarterly Meeting.
There is no excerpt because this is a protected post.
SEC to Consider Municipal Advisers in ‘Near Term’ – Commissioner.
There is no excerpt because this is a protected post.
MSRB Provides State and Local Governments with Tool to Improve Disclosure of Financial Information.
There is no excerpt because this is a protected post.
DOL Fiduciary Redraft Has “Left the Station.”
There is no excerpt because this is a protected post.
Lawmakers Give SEC Until Fall for MA Definition.
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.
MSRB to Consider Taking Action on Front Running, Best Execution.
There is no excerpt because this is a protected post.
Basel III Rules Likely to Curb Big Banks’ Muni Purchases.
There is no excerpt because this is a protected post.
SEC Lifts Ban on Hedge Fund Ads.
There is no excerpt because this is a protected post.
MSRB to Ease Standard of Independence for Board Members.
There is no excerpt because this is a protected post.
Brokers Willing to Pay Up for Fiduciary Standard: SIFMA.
There is no excerpt because this is a protected post.
SIFMA Submits Cost Estimates to SEC on Fiduciary Rulemaking.
There is no excerpt because this is a protected post.
Finra Postpones Action on Recruitment Disclosure Rule.
There is no excerpt because this is a protected post.
GAO: Most SEC-registered Advisers Not Subject to Surprise Exams.
There is no excerpt because this is a protected post.
MSRB Releases Report on Municipal Bond Continuing Disclosure Documents.
There is no excerpt because this is a protected post.
MSRB to Offer New Email Reminder Tool for Recurring Financial Disclosures.
There is no excerpt because this is a protected post.
MSRB to Launch Disclosure Tool; Will it Lead to Dispute with DAC?
There is no excerpt because this is a protected post.
SEC Approves JOBS Act Requirement to Lift General Solicitation Ban.
There is no excerpt because this is a protected post.
Reminder: Amendments to MSRB Rules G-37 and G-8 Become Effective Today.
There is no excerpt because this is a protected post.
MSRB’s Proposal to Change Rules Related to Retail Order Periods Published in Federal Register.
There is no excerpt because this is a protected post.
FINRA Selects Morningstar for Re-Launch of Market Data Center.
There is no excerpt because this is a protected post.
SEC Cracks Down on Disclosure in Municipal Bond Sales.
There is no excerpt because this is a protected post.
FINRA Fines StateTrust Investments $1 Million and Orders $353,000 in Restitution for Charging Unfair Prices in Bond Transactions.
There is no excerpt because this is a protected post.
MSRB Reminder: Amendments to MSRB Rules G-37 and G-8 Become Effective July 1, 2013.
There is no excerpt because this is a protected post.
Dealers Like MSRB Retail Order Proposals; MAs Warn Issuers Can Be Exploited.
There is no excerpt because this is a protected post.
FINRA Fines Two Firms $62,500 for Muni Rule Violations.
There is no excerpt because this is a protected post.
NYT: S.E.C. Has a Message for Firms Not Used to Admitting Guilt.
There is no excerpt because this is a protected post.
Reuters: FINRA Reviewing Brokerages’ Use of Social Media.
There is no excerpt because this is a protected post.
MSRB Releases “What to Expect” Videos for Municipal Bond Investors.
There is no excerpt because this is a protected post.
MSRB Files with the SEC Amendments to MSRB Rules on Retail Order Periods.
There is no excerpt because this is a protected post.
Dealers Like MSRB Proposed Rules for SMMPs, But Want More.
There is no excerpt because this is a protected post.
MSRB Reminds Investors, Market Professionals to Assess Terms of Build America Bonds and other Direct-Pay Bonds in Light of Federal Sequester.
There is no excerpt because this is a protected post.
Fiduciary Advocates Warn SEC Not to Water Down Uniform Standard.
There is no excerpt because this is a protected post.
SEC Charges Top Officials at Investment Adviser in Scheme to Hide Theft from Pension Fund of Detroit Police and Firefighters.
There is no excerpt because this is a protected post.
Reuters: Analysis: Tailoring FINRA Rules to Suit Smaller Firms.
There is no excerpt because this is a protected post.
Issuers Warned About Contracts, Unregistered MAs.
There is no excerpt because this is a protected post.
SEC: Money Market Fund Reform; Amendments to Form PF.
There is no excerpt because this is a protected post.
SIFMA Statement on SEC’s Proposed Money Market Fund Reform.
There is no excerpt because this is a protected post.
MSRB Files with the SEC Amendments to Require Additional Information from Dealers on 529 College Savings Plans.
There is no excerpt because this is a protected post.
SEC, FINRA Probing Dealers Over Issuers’ Continuing Disclosure Compliance.
There is no excerpt because this is a protected post.
WSJ: South Miami Charged With Defrauding Bond Investors.
There is no excerpt because this is a protected post.
SEC Approves Amendments to MSRB Rule G-39 on Telemarketing.
There is no excerpt because this is a protected post.
Reuters: Wielding Harrisburg Example, SEC Cajoles Cities Nationwide.
There is no excerpt because this is a protected post.
SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds.
There is no excerpt because this is a protected post.
FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules.
There is no excerpt because this is a protected post.
Reuters: Fiduciary Rule, Long Postponed, Faces More Delays, Lobbying.
There is no excerpt because this is a protected post.
Treasury Official: No Decision on Closing SLGS Window.
There is no excerpt because this is a protected post.
MSRB Releases Video.
There is no excerpt because this is a protected post.
MSRB Publishes First Quarter 2013 Municipal Market Statistics.
There is no excerpt because this is a protected post.
MSRB Adds Additional Primary Market Data to EMMA Website.
There is no excerpt because this is a protected post.
Dealers: MSRB’s Suitability Rule Shouldn’t Differ From FINRA’s.
There is no excerpt because this is a protected post.
Muni Experts: SEC Sent Message with Harrisburg Deal.
There is no excerpt because this is a protected post.