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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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