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SEC Unanimously Adopts Final Muni Advisor Rules.
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MSRB Responds to SEC’s Approval of Final Registration Rule for Municipal Advisors.
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MSRB Seeks Approval to Consolidate and Harmonize Fair Dealing Obligations for Municipal Securities Dealers.
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SEC MA Rule Mostly Applauded.
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Lawmakers Lobby Newest SEC Commissioners Over Muni Advisors.
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Commission Charges Operator of Miami-Dade County’s Largest Hospital with Misleading Investors about Financial Condition.
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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.
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Miami Settlement Unlikely.
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Fidelity: Money Market Reform Could Hike Muni Borrowing Costs.
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Social Media Privacy Bills May Hinder Advisor Compliance.
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MSRB Files with SEC Revised Amendments to MSRB Rules on Retail Order Periods.
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WSJ: Muni Advisers Face Tougher SEC Rules.
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Bond Dealers of America Sends Comment Letter to SEC Study Regarding Obligations of Brokers, Dealers, and Investment Advisers.
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Gallagher’s ‘Blood Oath’ to Keep Focus on Munis.
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National Federation of Municipal Analysts submits comment to the SEC on Proposed Rule Change to Amend MSRB Rule A-3.
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FINRA Fines Morgan Stanley $1M for Unfair Pricing.
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FINRA Fines Four Firms, Two Individuals $270,000 For Muni Violations.
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MSRB Reminds Dealers of August 22, 2013 Effective Date for Amendments to Rule G-39.
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SIFMA Launches Broker Protocol Information.
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MSRB: Request for Comment on Proposed Rule Change to Consolidate Registration Requirements.
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MSRB Showcases EMMA Resources for Investors in New Video.
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MSRB Publishes Notice Regarding Policy on Interpretive Guidance.
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Commission Adopts Amendments to Financial Responsibility Rules for Broker-Dealers.
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Commission Adopts Rules to Increase Protections for Investors with Assets Being Held By Broker-Dealers.
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Senate Democrats Urge Delay in Labor Fiduciary-Duty Rules.
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MSRB Requests Comment on Whether to Require Dealers to Adopt a “Best Execution” Standard for Municipal Securities Transactions.
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MSRB Requests Comment on Proposed Fair-Pricing Rule.
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SEC’s Aguilar: Custody Rules Won’t Burden Brokers.
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House Democrat Introduces Bill to End Mandatory Arbitration.
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SEC Charges Underwriter, Issuer Over Disclosure.
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SEC Charges School District and Muni Bond Underwriter in Indiana with Defrauding Investors.
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MSRB Seeks Input on Potential Enhancements to Price Transparency in the Municipal Market.
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SEC Final Rules Update: Financial Responsibility Rules for Broker-Dealers.
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SEC Final Rules Update: Broker-Dealer Reports.
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WSJ: Search for Muni-Bond Guidepost Sputters.
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Commission Charges City of Miami and Former Budget Director with Municipal Bond Offering Fraud.
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Miami Case Shows SEC Increasingly Targeting Individuals; Willing to Fine Cities.
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SIFMA Proposes ‘Execution With Diligence’ Standard for Municipal Trading
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SIFMA Proposes Muni Trade Standard; Wants MSRB to Seek Public Input.
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Ex-UBS Muni Derivative Desk Head Ghavami Gets 18 Months.
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MSRB Holds Quarterly Meeting.
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SEC to Consider Municipal Advisers in ‘Near Term’ – Commissioner.
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MSRB Provides State and Local Governments with Tool to Improve Disclosure of Financial Information.
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DOL Fiduciary Redraft Has “Left the Station.”
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Lawmakers Give SEC Until Fall for MA Definition.
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MSRB Board of Directors Meeting Discussion Items.
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MSRB to Consider Taking Action on Front Running, Best Execution.
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Basel III Rules Likely to Curb Big Banks’ Muni Purchases.
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SEC Lifts Ban on Hedge Fund Ads.
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MSRB to Ease Standard of Independence for Board Members.
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Brokers Willing to Pay Up for Fiduciary Standard: SIFMA.
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SIFMA Submits Cost Estimates to SEC on Fiduciary Rulemaking.
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Finra Postpones Action on Recruitment Disclosure Rule.
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GAO: Most SEC-registered Advisers Not Subject to Surprise Exams.
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MSRB Releases Report on Municipal Bond Continuing Disclosure Documents.
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MSRB to Offer New Email Reminder Tool for Recurring Financial Disclosures.
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MSRB to Launch Disclosure Tool; Will it Lead to Dispute with DAC?
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SEC Approves JOBS Act Requirement to Lift General Solicitation Ban.
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Reminder: Amendments to MSRB Rules G-37 and G-8 Become Effective Today.
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MSRB’s Proposal to Change Rules Related to Retail Order Periods Published in Federal Register.
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FINRA Selects Morningstar for Re-Launch of Market Data Center.
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SEC Cracks Down on Disclosure in Municipal Bond Sales.
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FINRA Fines StateTrust Investments $1 Million and Orders $353,000 in Restitution for Charging Unfair Prices in Bond Transactions.
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MSRB Reminder: Amendments to MSRB Rules G-37 and G-8 Become Effective July 1, 2013.
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Dealers Like MSRB Retail Order Proposals; MAs Warn Issuers Can Be Exploited.
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FINRA Fines Two Firms $62,500 for Muni Rule Violations.
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NYT: S.E.C. Has a Message for Firms Not Used to Admitting Guilt.
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Reuters: FINRA Reviewing Brokerages’ Use of Social Media.
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MSRB Releases “What to Expect” Videos for Municipal Bond Investors.
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MSRB Files with the SEC Amendments to MSRB Rules on Retail Order Periods.
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Dealers Like MSRB Proposed Rules for SMMPs, But Want More.
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MSRB Reminds Investors, Market Professionals to Assess Terms of Build America Bonds and other Direct-Pay Bonds in Light of Federal Sequester.
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Fiduciary Advocates Warn SEC Not to Water Down Uniform Standard.
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SEC Charges Top Officials at Investment Adviser in Scheme to Hide Theft from Pension Fund of Detroit Police and Firefighters.
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Reuters: Analysis: Tailoring FINRA Rules to Suit Smaller Firms.
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Issuers Warned About Contracts, Unregistered MAs.
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SEC: Money Market Fund Reform; Amendments to Form PF.
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SIFMA Statement on SEC’s Proposed Money Market Fund Reform.
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MSRB Files with the SEC Amendments to Require Additional Information from Dealers on 529 College Savings Plans.
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SEC, FINRA Probing Dealers Over Issuers’ Continuing Disclosure Compliance.
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WSJ: South Miami Charged With Defrauding Bond Investors.
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SEC Approves Amendments to MSRB Rule G-39 on Telemarketing.
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Reuters: Wielding Harrisburg Example, SEC Cajoles Cities Nationwide.
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SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds.
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FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules.
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Reuters: Fiduciary Rule, Long Postponed, Faces More Delays, Lobbying.
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Treasury Official: No Decision on Closing SLGS Window.
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MSRB Releases Video.
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MSRB Publishes First Quarter 2013 Municipal Market Statistics.
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MSRB Adds Additional Primary Market Data to EMMA Website.
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Dealers: MSRB’s Suitability Rule Shouldn’t Differ From FINRA’s.
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Muni Experts: SEC Sent Message with Harrisburg Deal.
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SEC Charges City of Harrisburg for Fraudulent Public Statements.
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CNBC: Fiduciary Standard Soon May Regulate Brokers-Dealers Deals.
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MSRB Requests Comment on Proposal to Consolidate Guidance for Dealers on Obligations to Experienced Investors.
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SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors.
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MSRB Discusses Questionable Dealer Contracts, Plans for New Rules.
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Register today for GFOA’s 107th Annual Conference, June 2-5, 2013, at Moscone Center North in San Francisco, California.
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SEC Panel Focuses on Price Transparency for Retail Investors.
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Bill Would Exempt Banks From MA Registration, Oversight, Fiduciary Duty.
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MSRB To Consider POS’, Trade Reporting and More At Meeting Next Week.
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Some Dealer Contracts with Issuers Raise Legal, Compliance Questions.
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SEC Examining Non-Dealer Muni Advisors.
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GASB Responds to Financial Accounting Foundation’s Post-Implementation Review of Deposit and Investment Risk Disclosure Standards.
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MSRB to Require Dealers to Disclose More Information Regarding Contributions to Bond Ballot Campaigns.
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MSRB Announces Upcoming Webinar on MyEMMA.
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CUSIP CICI Webinar for Underwriters & CUSIP Requesters.
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SEC Says Social Media OK for Company Announcements if Investors Are Alerted.
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Highlights of FASB’s Not-for-Profit Advisory Committee Meeting.
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SEC Roundtable on Fixed Income Markets — Agenda.
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SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule.
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SEC Proposes Rules to Improve Systems Compliance and Integrity.
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MSRB Requests Comment on Revisions to Suitability Rule.
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