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OCIE Announces Examination Priorities for 2020, Emphasizing Emerging Trends, Technologies, and Compliance with New Regulation Best Interest.
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Dealer Groups Want the SEC to Approve FIMSAC Recommendation.
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Where SEC Examinations Will Focus in 2020.
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Joel M. Black Appointed Chair of the Governmental Accounting Standards Board.
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States Respond to GASB Chair Appointment: NASACT
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MSRB Publishes 2019 Annual Report and Audited Financial Statements.
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Member Alert: GFOA Priorities See Action on Capitol Hill
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SEC to Focus on Issuer Disclosure, Municipal Advisors in 2020.
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FINRA Hits Merrill Over Muni Sales.
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Muni Industry Awaits Final Reg on Libor Transition in 2020.
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Compliance Date Set for More Data From Underwriters.
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SEC Proposes Conditional Exemption for Certain Activities of Registered Municipal Advisors.
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Bar Assoc Lawyers Say Laywers Can Hide Knowledge of Serious Crime.
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NFMA Responds to SR-MSRB-2019-13.
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BDA Delivers Strong Message to SEC: Reject the Exemptive Order Outright.
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Broker-Dealers Participating in Primary Offerings of Municipal Securities: Prepare for Implementation of New Rules – Jones Day
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SEC Issues FY2019 Enforcement Report – Highlights and Key Takeaways
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GASB Proposes New Implementation Guidance to Assist Stakeholders with Application of its Pronouncements.
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SIFMA Says SEC Is On ‘Wrong Path’ With Advisor Exemptive Order.
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SIFMA: Proposed Exemptive Order Related to Muni Advisors
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MSRB RFC: Proposed Enhancement to the EMMA Website to More Prominently Display the Timing of Annual Financial Disclosures.
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Federal Register: MSRB Proposes Enhancements to EMMA Website
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NFMA Newsletter.
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Ex-Morgan Stanley Rep Suspended Over Unsuitable Muni Bond Sales.
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Municipal Securities Dealer Settles FINRA Charges for Providing Inaccurate Information in Issue Price Certificates.
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Regulatory Comments Stress Safe Harbors in Libor Transition.
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Lessons from FINRA’s 2019 Report on Examination Findings and Observations.
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SEC Enforcement Annual Report: Retail Focus Raises Regulatory Risk for Investment Advisers
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Electronic Disclosure, RIN 1210-AB90: SIFMA Comment Letter
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SEC Approves Changes to MSRB Guidance on Underwriters’ Disclosure Obligations.
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Why Is It So Hard to Access Performance and Financial Data in Munis?
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MSRB Proposes Enhancements to EMMA Website.
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WEBINAR – Are State and Local Governments Prepared for the Next Recession?
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FINRA Files for 4210 Effective Date Extension to March 2021.
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Federal Register: MSRB Proposes Changes to Content Outline for Muni Principal Exam
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BDA Continues to Lead Industry Pushback on the PFM and NAMA Requests to Avoid Broker-Dealer Regulation.
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Dealers Ask SEC Not to Approve Fair Dealing Guidance Changes.
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Proposed Rule Change to Amend & Restate MSRB Rule G-17: SIFMA Comment Letter.
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Tax Relief for Replacing LIBOR in Tax-Exempt Debt and Swaps: Orrick
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NASACT: Treasury/IRS Seek Comment on Potential Tax Consequences of LIBOR Transition
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Hawkins Advisory: Guidance from Treasury Regarding USD LIBOR Phase-Out
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Moving on from LIBOR: Squire Patton Boggs
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Financial Accounting Foundation Opens Search for New Executive Director.
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GASB Outlook E-Newsletter Fall 2019.
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MSRB Holds First Quarterly Board Meeting of FY 2020.
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SEC Proposes Exemption From Broker Registration for Certain Municipal Advisors.
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Proposed Rules Addressing LIBOR Phase-out Help Ease Reissuance Concerns.
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Background on LIBOR and SOFR.
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Local Governments Lobby for Stable NAV Bill; BlackRock $500B in Cash
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MSRB Seeks Input and Volunteers for Advisory Groups.
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FINRA Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities.
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UBS Fined for Repeated Client-Reporting Inaccuracies on Munis.
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Muni Market Divides Over Disclosure.
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BDA 3Q Update – Advocacy & Representation of Member Firms
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BDA Continues Aggressive Advocacy on Non-Dealer MA Request of SEC.
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MSRB to Begin FY 2020 with Focus on Governance.
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GASB Tackles Phaseout of Libor, Growth of P3s.
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SEC Charges Los Angeles County School District and Two Officials with Defrauding Investors in $100 Million Bond Offering.
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Opinion: Why It Is Time To Break Up The insiders Club That Regulates The $4 Trillion Muni-Bond Market
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Bond Buyer Podcast: SIFMA’s Bentsen and Norwood on SIFMA’s Muni Priorities, Policy and Regulations
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Muni Market Awaits 2 Treasury Regulations.
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Dealers Double Down on Opposition to Muni Advisors Running Private Placements.
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BDA Urges SEC to Reject the PFM and NAMA Requests to Avoid Broker-Dealer Regulation
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MSRB Update Newsletter.
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Deutsche Bank Emerges as Whistle-Blower in Bond-Rig Probe.
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MSRB Proposed Rule Change to Amend and Restate the Application of Rule G-17: SIFMA Comment Letter
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BDA Releases a GSE Reform “White Paper” as the Debate on a Housing Finance Overhaul Heats Up.
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FINRA Issues Guidance on Member Firms’ Supervisory Obligations When Participating in Investment-Related Activities With Municipal Clients.
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FAF Trustees Appoint Fiona Ma to the Governmental Accounting Standards Advisory Council.
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NFMA Seeks Comments on Draft Recommended Best Practices in Disclosure for Dedicated Tax Bonds.
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SEC Chairman Calls for Legal Bulletin on EMMA Disclosures: King & Spalding
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SEC Fixed Income Market Structure Advisory Committee (FIMSAC) Meeting.
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MSRB Discusses Regulation Best Interest.
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MSRB Update Newsletter.
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Muni OS Boilerplate Headscratcher: Price Is ‘Priced To The Call Date’?
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SIFMA Comment Letter: Request for Comment on MSRB Rule G-23 on Activities of Dealers Acting as Financial Advisors
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Muni Groups Disagree on Role-Switching Prohibition.
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FINRA Notice Highlights Confusion.
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FINRA Regulatory Notice 19-28: Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients.
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FINRA Reminds Firms Of Potential Municipal Advisor Registration Obligations.
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The View from Washington: A Conversation with the MSRB
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MSRB Announces New Officers and Board Members for FY 2020; Lynnette Kelly Retiring from MSRB.
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One of the Most Lucrative Regulatory Jobs in Washington Is Now Open.
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It’s Time for Truth in State and Local Government Finances.
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Everything You Need to Know About the Municipal Securities Rulemaking Board.
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New EMMA Newsletter.
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BQ Bill Introduced in Time for August Recess – What You Need to Know
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Lawyers, Issuers Say SEC’s Concern On Muni Disclosure Is Mostly Unfounded.
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SEC Chair Clayton Raises New Concern About Muni Disclosure.
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MSRB Opts to Chuck Year-Old Rule Amendment in Unusual Step.
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New MSRB Report Examines Impact of Mark-Up Disclosure Rule.
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Coal’s Dimming Future Spotlights Public Finance Disclosure Shortcomings.
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SEC Charges Municipal Advisor with Breach of Fiduciary Duty.
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House Financial Services Subcommittee Hearing on Environmental, Social, and Governance Disclosure (ESG) Proposals.
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GFOA’s Federal Liaison Center Releases New Advocacy Resources.
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MSRB Course on Order Periods and Syndicate Practices.
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MSRB Rule G-37: Balancing Market Integrity with First Amendment Rights
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BDA Submits Response to SEC Regarding Recent PFM Request for Interpretative Relief.
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BDA Submits Letter in Support of Recent FIMSAC Proposal.
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SEC Approves Amendments Aimed At New Issue Transparency.
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In Major Blow To Its Opponents, SEC Pay-to-Play Rule Survives D.C. Circuit Challenge.
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MSRB Podcast: Municipal Advisor Considerations in Preparing for Examination
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GASB Issues Implementation Guide on Fiduciary Activities.
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BDA Submits Comment Letter on TRACE Pilot/Corporate Bond Block Trade Dissemination.
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MBFA’s 2019 Mid-Year Advocacy Report.
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NFMA Newsletter.
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MSRB Podcast: Dealer Concentration and Participation
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GFOA’s New Code of Ethics.
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GASB Invites Governments to Participate in New Process for Collecting Information About Implementation.
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Muni Market Torn On Revisiting Municipal Advisor CUSIP Requirements.
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MSRB Rule G-34 Obligation of Municipal Advisors to Apply for CUSIP Numbers When Advising on Competitive Sales: SIFMA Comment Letter
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BDA Comment Letter: MSRB Request for Comment on Rule G-34 Obligation of Municipal Advisors to Apply for CUSIP Numbers When Advising on Competitive Sales
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New GASB Standard Clarifies Conduit Debt Reporting.
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Final Rule Makes Munis High-Quality Liquid Assets.
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2019 GFOA Awards for Excellence Winners Announced.
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GFOA 2020 Call for Topics.
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MSRB Seeks Comment on Rule G-23 on Activities of Financial Advisors.
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GASB Proposes Guidance on Cloud Computing and Similar Subscription-Based IT Arrangements.
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BDA’s 1st Quarter Advocacy Priorities.
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FAF Issues 2018 Annual Report, “Standards That Work: Rising To Meet The Future”
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Could MSRB Review of G-23 Revive ‘Shady’ Practice of Role-Switching?
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Time For a Fresh Look at Rule G-23 – Benefiting Municipal Issuers, Taxpayers.
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MSRB’s Latest Podcast.
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Investors Turn to MSRB for More Timely, Transparent Disclosure.
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Financial Accounting Foundation Board of Trustees: Notice of Meeting
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MSRB Report: Dealer and Customer Trading Activity.
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MSRB Podcast: MSRB Fact Book and Data Available Through the MSRB on Trading Patterns, Disclosures and More.
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EMMA Announces New Algorithm with Predictive Features.
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NFMA Letter on the Current State of Disclosure in the Municipal Market.
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Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection With Primary Offerings: SIFMA Comment Letter
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GASB Establishes New Guidance to Assist Stakeholders With the Implementation and Application of Various Pronouncements.
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Bond Buyer: Middle-Market Dealers Report Steep Regulatory Costs
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New Guidance Would Streamline Underwriter Disclosures.
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MSRB Podcast – Professional Qualifications: A Conversation About MSRB Rule G-3
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MSRB Podcast: A Conversation About Yield Curves
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Systematic Pennying on SEC’s Agenda.
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Introducing the MSRB Podcast.
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The 2019 National Municipal Bond Summit Hosted by the BDA and Bond Buyer Event Recap.
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FAF Opens Nominations for FASB and GASB Chair Positions.
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Troubled Municipal Borrowers Can’t Hide From Matt Fabian.
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This Libor Successor Is Growing Up, But Still Hasn’t Come of Age.
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How the Supreme Court Just Raised the Stakes in Muni Disclosure.
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SEC Charges College Controller with Fraud.
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SEC Charges Ex-College Controller With Municipal Securities Fraud.
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Oyster Bay SEC Settlement Allows Borrowing Without Credit Rating Damage.
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SIFMA Issues Muni Model Placement Engagement Agreements.
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MSRB Asks SEC Approval to Require More Data from Underwriters.
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Hawkins Advisory: Implementing the Rule 15c2-12 Amendments
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NFMA Municipal Analysts Bulletin.
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Court orders Wells Fargo Securities to Pay Over $800,000 for Bond Offering Disclosure Failures.
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Wells Fargo Agrees to Pay $800K in Schilling Video Game Deal.
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Bond Dealers of America Forms Working Relationship with Michael Decker – Enhancing Representation of Member Firms and Overall Fixed Income Advocacy
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City Clarifies Possible Confusion Over Bond Language.
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Frequently Asked Questions Regarding the 529 Plan Share Class Initiative.
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SIFMA Interpretive Guidance on Application of MSRB Rules.
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BDA Comment Letter: Draft Interpretation of Application of MSRB Rules to Certain Prearranged Trading
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The Bond Market’s Watchmen Keep an Eye on Each Other, Too.
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New Event Notices for Municipal Bond Disclosure.
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MSRB Compliance Corner.
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Nominate a GFOA Hero.
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2019 Crain Grant Program Request for Research.
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How Philadelphia Says It Got Ripped Off by Bank Bond ‘Robots’
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Mystery Man Behind $3.6 Billion in Muni Lawsuits Steps Forward.
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The New 15c2-12 Event Requirements – A Practical Approach to Issuer Compliance: Gilmore Bell
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The New 15c2-12 Event Requirements – A Practical Approach to Underwriter Due Diligence: Gilmore Bell
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MSRB Establishes New Effective Date for Advertising Rules and Adopts BDA Position on Social Media Guidance.
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FINRA Launches New Self-Reporting Initiative for 529 Savings Plan Violations.
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A Brief Guide to the 2018 Amendments to Continuing Disclosure Requirements: Butler Snow Alert
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New Event Notices for Municipal Bond Disclosure.
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MSRB Publishes Annual Fact Book of Municipal Securities Data.
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Amendments To Continuing Disclosure Requirements Effective February 27, 2019.
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Novel Concerns in FINRA’s 2019 Risk Monitoring and Examination Priorities Letter.
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FINRA Launches First-Ever Self-Reporting Initiative on 529 Plan Share Class Recommendations.
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Philadelphia Sues Seven Big Banks, Alleges Municipal Bond Collusion.
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Philadelphia Sues Seven Banks Over ‘Collusion’ in Muni Deals.
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Philadelphia Sues 7 Banks Alleging Municipal Bond Collusion.
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Philadelphia Sues Banks for Bond Rate Collusion.
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Read About the MSRB’s Renewed Focus on Retrospective Rule Review.
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Be Aware of Fraud in the Muni Bond Market.
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MSRB Update: Winter 2019
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BDA Releases Index of Fixed Income Activity (June 2018 – Dec. 2018)
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Could a Market Penalty Shrink Lag Time on Municipal Bond Audits?
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SEC Official Tackles Muni Disclosure.
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Financial Accounting Foundation Board of Trustees Notice of Meeting.
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Chicago Whistleblower Team Defeats Wall Street Banks’ Motion to Dismiss Municipal Bond Fraud Suit.
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MSRB Holds Quarterly Board Meeting.
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FINRA 529 Plan Share Class Initiative Encourages Firms to Self-Report Violations.
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What Do the SEC’s New Continuing Disclosure Requirements Mean for Governmental Borrowers? – Miller Canfield
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Securities and Exchange Commission Amends and Updates Rule 15c2-12: K&L Gates
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Issuers Not Clear On Upcoming 15c2-12 Amendments.
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Read About New SEC Rule 15c2-12 Disclosure Obligations and Upcoming Issuer Enhancements to EMMA in the Latest MSRB Newsletter.
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SEC Is Ready To Execute Its 2019 Examination Priorities.
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FINRA Announces 2019 Regulatory Priorities.
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SEC Recommends No Action Against Former Babylon Town Finance Adviser.
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Skadden’s 2019 Insights: Political Law: What to Consider When Providing Investment Fund Services to US State and Local Government Entities.
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Brookings Institution Seeks Wide Range of Muni Research.
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MSRB to Discuss SEC’s Concerns on Disclosure at Quarterly Meeting.
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The MSRB Adds New BondWave AA Yield Curve to EMMA®
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BDA’s 116th Congress Policy Outlook.
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