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SIFMA Submits Comment Letter to MSRB on MSRB Rule G-20 relating to Gifts, Gratuities and Non-cash Compensation.
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Congressman Defends Munis to GFOA.
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MSRB Municipal Advisor Review – Winter 2014.
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SIFMA Seeking Legislative “Fix” to MA Rule To Ease Burdens on Underwriters.
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Gallagher: Focus on Pension Disclosure, Add More Muni Staff.
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Illinois City Allowed Back Into the Bond Market.
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U.S. Strikes Deal with Chicago Suburb of Harvey Over Bond Fraud.
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Illinois City Settles With SEC in Muni Bond Fraud Case.
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SEC Raises Pressure on Borrowers as Leniency Ends: Muni Credit.
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MSRB to Make ABS Disclosures Publicly Available Over EMMA in January.
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SEC Seeking Comments on Disclosure Rule.
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MSRB to Accept Disclosures about Municipal Asset-backed Securities.
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Proskauer: Firms Have Roadmap for Expanding Litigation of Customer Disputes After Second Circuit Holds Forum Selection Clauses Trump FINRA’s Mandatory Arbitration Rule.
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GFOA Releases Third and Final Alert on SEC Continuing Disclosure Initiative.
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MSRB and FINRA to Host Webinar on Proposals to Provide Pricing Reference Information to Investors.
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MSRB Proposes Professional Qualification Standards for Municipal Advisors.
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WSJ: Small Towns Go to Bat for Wall Street Banks.
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Schwab in Talks to Resolve Auction-Rate Securites Suit.
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Issuers Head to the MCDC Wire.
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Day Pitney: Mayor Settles SEC Enforcement Action for Municipal Bond Disclosure Violation.
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Many U.S. Muni Bond Issuers, Underwriters Report Rule Violations – SEC.
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New Rules on U.S. Bond Dealer Pay Come Closer to Fruition.
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FINRA and MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income Markets.
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Muni-Bond Buyers May Get More Data on Price Markups.
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NABL Comments in Response to MSRB Regulatory Notice 2014-16.
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Mintz Levin: SEC Introduces “Control Person” Liability as Enforcement Action Weapon in Claim Against Municipal Officer for Misleading Bond Offering Document.
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SEC’s Top Cop: More Muni Enforcement, Not Less.
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Ballard Spahr: SEC Charges City Mayor as a Control Person in Allen Park, Michigan, Enforcement Action.
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MSRB, FINRA Propose Principal Trade Disclosure.
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Michigan City Settles SEC Fraud Charges in Municipal Bond Sale.
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WSJ: SEC Fines Brokerages Over Sale of Puerto Rico Bonds.
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Gallagher: Encourage Electronic Platforms, Avoid Liquidity Cliff.
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Chan Warns Of Secondary Market Crackdown.
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MSRB Holds Quarterly Board Meeting.
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Municipal Bond Advisers Face Curb on Local Political Donations.
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BDA Sends Letter to SEC on SMMP Exceptions, Requests Bifurcated Affirmation Process
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SEC Approves MA Supervision Rule.
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SEC’s Cross Says Shine a Light on Tax-Free Market: Muni Credit.
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Dealers to MSRB: Finish MA Rules, Cut Costs.
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MSRB Creates Supervision and Compliance Requirements for Municipal Advisors.
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MSRB Proposes Gift Limit for MAs.
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SEC Proposal to Remove Rating References From MMF Rule Sparks Concerns.
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SEC Trumpets Record Enforcement Year.
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BDA Sends Letter to SEC & MSRB: Urges Closer Look at Non-Dealer Placement Activities.
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BDA Submits Comment Letter – MSRB 2015 Strategic Priorities.
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MSRB Requests Comment on Extending Gifts Rule to Municipal Advisors.
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MSRB Announces Regulatory Topics to be Discussed at Upcoming Board Meeting.
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MSRB Invites Municipal Securities Investors to Education Video Series: Diving Into the Documents.
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NABL Summary of Viewpoints on MCDC Now Available.
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State, Local Groups – Make Muni HQLA Case.
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SIFMA Suggests HQLA Change.
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Goldsholle to Leave MSRB.
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BDA Submits Comment Letter to MSRB on Rule G-37.
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MSRB Strengthens Continuing Education Requirements for Municipal Securities Dealers.
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SEC Concerned About MA Registration and Misuse of IRMA Designation.
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Wall Street Watchdog Taps 800 Arbitrators to Hear Puerto Rico Bond Cases.
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Regulators Open Registration for MA Compliance Outreach Program.
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Dealers: Raise Limit in G-37 Proposal for MAs.
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Piwowar Doubts Need for Fiduciary Standard.
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SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors.
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Dealers Want SEC to Delay Consideration of SMMP Changes.
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Dealers: Transparency Proposals Very Costly.
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SCOTUS May Weigh In On Right To Arbitration.
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MSRB Reminds Dealers of September 30, 2014 Effective Date for Amendments to Rules G-3, G-7 and G-27.
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New Bank Rule Would be Costly for Cities, States.
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Ballard Spahr: SEC Enforcement Round-Up, 2014 to Date.
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Striking a Balance on Muni Bonds.
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Future MCDC Settlements May Be More Detailed.
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Quick-Turn Bond Brokers Would Disclose Profits Under Finra Plan.
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SEC Could Halt Muni Bond Sales.
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Treasury’s Hiteshew Warns of Heightened Scrutiny for Munis.
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U.S. Treasury Will Monitor Bank Liquidity Rule’s Impact on Munis- Official.
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SEC’s Gallagher Calls for Reforms in Fixed Income Markets.
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Orrick: FERC Proposes to Streamline Market-Based Rate Program.
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MSRB Provides New Resources on Disclosures Made to Municipal Bondholders.
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SEC Complaint Filed in Braves Bond Issuance.
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Advisor Groups Push For Clarity In Municipal Market Rules.
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BofA Sees Limited Harm To Munis From New Bank Liquidity Rule.
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Judge Mulls SEC Limits on Political Donations.
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Moody’s: Exclusion of Munis as HQLAs a Credit Negative.
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Many Underwriters Reported Deals by MCDC Deadline.
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Schumer Urges Regulators to Include Munis in Liquidity Rule.
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WSJ: Regulators Open to Counting Muni Bonds in Bank Assets.
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MSRB Proposal to Establish Best-Execution Rule Published in Federal Register.
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MSRB Seeks Input on Strategic Priorities.
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Fed: Some Munis May Become HQLA in Liquidity Rule.
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Lawmakers Threaten SEC with Ultimatum on MCDC.
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Munis in Limbo Awaiting Clarity on Bank Liquidity Regulations.
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NAST, NASACT Make 11th Hour Appeal on Munis to Regulators.
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Fed Will Consider Adding Municipal Debt as Quality Asset.
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Muni Groups Urge SEC To Require MA Supervision Rule Changes.
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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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