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SIFMA Comments to MSRB Form G-45 under Rule G-45, on Reporting of Information on Municipal Fund Securities; Regarding 529 College Savings Plans and ABLE Programs.
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How Should You Respond When SEC Examiners Come Knocking?
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MSRB Seeks Input on a Compliance Resource to Help Distinguish Advice and Recommendations.
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Q4 2017: Municipal Advisor Exam Results.
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FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly.
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SEC Announces 2018 National Examination Priorities.
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SEC’s 2018 Exam Priorities Reflect Continued Focus on Cybersecurity.
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BDA Sends Follow-Up Letter to SEC Chairman Clayton Regarding Retail Confirmation Mark-Up Disclosure.
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New MSRB MuniEdPro® Course: Upcoming Mark-Up Disclosure Requirements and Determination of Prevailing Market Price.
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MSRB Holds Quarterly Board Meeting.
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Reminder: Applications for the MSRB Board of Directors are due February 16, 2018
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Reminder: There’s Still Time to Comment on the MSRB’s Approach to Providing Compliance Support.
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FINRA Proposes Changes to the Securities Industry Essentials Examination.
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U.S. SEC Probing Muni Bond Market Practices – California Treasurer.
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Commentary: Reflections on the Municipal Market’s Distinctive Regulatory Approach.
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MSRB Request for Comment on Compliance Support.
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SEC Probing Muni Market, California Treasurer’s Office Says.
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MSRB Proposal Would Govern How Muni Advisors Advertise.
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MSRB Seeks to Establish Advertising Rule for Municipal Advisors and Update Dealer Standards.
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MSRB Announces Topics to be Discussed at Board Meeting.
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SEC Accelerates Work on a ‘Fiduciary’ Standard.
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SEC Holds First Meeting of its Fixed Income Market Structure Advisory Committee.
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Primary Offering Practices, Strategic Plan Among Topics at MSRB Meeting.
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MSRB Publishes 2017 Annual Report and Audited Financial Statements.
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California Municipalities’ Debt Disclosures Contrast With Climate Warnings.
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Have California Munis Misled Investors And Bond Insurers About Climate Risk?
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Post-Trade Group Working to Further Shorten U.S. Settlement Cycle.
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MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers.
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MSRB Seeks Board of Directors Applicants.
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Detroit Boosts Disclosure in Effort to Build Investor Confidence.
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MSRB January Monthly Update.
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Outlook 2018: SEC’s Top Muni Cop Lists Enforcement Priorities.
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Lawsuit Claims Houston Misled Voters on $1B Pension Bonds.
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MSRB to Amend Requirements for Obtaining CUSIP Numbers.
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FAF Trustees Name New Members to the GASAC.
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Ex-New York Town Official Sentenced to Two-And-Half Years for Bond Fraud.
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MSRB Amends Form G-45 to Collect Additional Fee Data about ABLE Programs and 529 College Savings Plans.
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SEC Approves Change to 529, ABLE Reporting.
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Surge in Private Muni Issuance Leaves Disclosure Black Hole.
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MSRB Amends Form G-45 to Collect Additional Fee Data about ABLE Programs and 529 College Savings Plans.
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SIFMA Submits Letter Responding to MSRB Amendment No. 1 with SEC Clarification of MSRB Rule G-34(a)(i) on the Use of CUSIPs.
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MSRB Compliance Newsletter.
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NFMA Municipal Analysts Bulletin.
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MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support.
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Refresh Your Knowledge of MSRB Gift-Giving Restrictions.
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Ramapo Agrees with SEC to Clean up Bond Finances.
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What Bond Investors Weren’t Told About a Threat Facing Cinco Ranch.
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SEC Charges Oyster Bay, New York, With Bond Fraud.
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Long Island Town Charged With Securities Fraud.
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Wealthy N.Y. Town Sued by SEC Over Loan Aid for Restaurateur.
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MSRB Release on Offering Practices Draws Frosty Reception From Some.
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MSRB’s Request for Comment on Retrospective Review of Primary Offering Practices.
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SIFMA Response to MSRB Concept Release on Primary Offering Practices.
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SEC Finds Widespread Compliance Failures Among Municipal Advisors.
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MSRB Seeks Input on Compliance Support.
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GASB: Understanding Costs and Benefits: Fiduciary Activities.
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MSRB Publishes Information on its Compliance and Market Leadership Activities.
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MSRB to Streamline Series 52 Exam.
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GASB Proposes Clarifications to Guidance on Majority Equity Interests.
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NFMA Comment Letter on MSRB Regulatory Notice 2017-19.
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Markup Rule Deadline May Be Hard To Meet.
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Hold-to-Maturity CUSIP Exemption Tweaked in New Filing.
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MSRB Files Amendment to Proposal on Obtaining CUSIP Numbers.
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MSRB Provides New FAQ for Municipal Advisors on Continuing Education Requirements.
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MSRB Releases New Data on Inter-Dealer Electronic Trading of Municipal Bonds.
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MSRB Announces Members of Compliance Advisory Group.
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MSRB Publishes Vision and Principles for Evolving EMMA.
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U.S. SEC Close to Forming Group to Scrutinize the Bond Market.
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MSRB Holds Quarterly Board Meeting October 2017
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NSAA Responds to AICPA Exposure Draft.
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FAF: From the President’s Desk.
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Amendments to the FINRA Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive.
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MSRB Letter to SEC Investor Advocate.
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MSRB Announces Board Meeting Topics.
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MSRB FY18 Budget Summary.
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Explore the MSRB’s New Compliance Center.
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GASB Survey on Note Disclosure Requirements.
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Treasury Issues Priority Guidance Plan for Municipal Bonds.
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SIFMA Submits Comments to SEC on MSRB Clarification of Rule G-34(a)(i) on the Use of CUSIPs.
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Dealers, Issuers, Advisors Call for Changes to CUSIP Proposal.
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MSRB Seeks to Collect Additional Fee Information About ABLE Programs and 529 College Savings Plans.
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Commentary: Questions Remain as Bond Market Prepares for Markup Disclosure Rule.
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FAST Act Modernization and Simplification of Regulation S-K.
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MSRB Provides Continuing Education Planning Tool for Municipal Advisors.
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MSRB Releases New MuniEdPro® Courses on Best Execution and Gift-Giving.
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BDA’s 2016-17 Federal Regulatory and Legislative Priorities and Accomplishments.
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NFMA Summary: GASB 87, New Governmental Lease Accounting Standards.
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House OKs Bill To Equalize Muni Bonds In Liquidity Rules.
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SEC Continues Public Finance Enforcement Agenda Two Recent Cases Filed: Orrick
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Changes to MSRB Fees for Municipal Advisors.
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SIFMA Seeks Volcker Rule Exemption for Tender Option Bonds.
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MSRB: Issuers Shouldn’t Choose Underwriter’s Counsel.
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Lawyers Critical of MSRB Guidance.
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FINRA Proposed Rule Change – Section 13 of Schedule A.
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The Path Forward on HQLA.
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BDA Comment Letter to the DOL: Supporting an Extended Transition Period
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MSRB Announces Results of Qualifying Examination for Municipal Advisors.
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Commentary: Key Takeaways from the SEC’s Post-MCDC, Beaumont Cease and Desist Order.
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MSRB Solicits Input on Retrospective Review of Primary Offering Practices.
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NFMA Comment: GASB Proposed Statement No. 3-30, Certain Disclosures Related to Debt, Including Direct Borrowings and Direct Placements.
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Bond Dealers of America Advocacy: 3rd Qtr – 2017
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MCDC Architect Chan Makes Muni Enforcement Predictions.
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SIFMA Submits Comments to SEC on Proposed New MSRB Fee for Dealers Underwriting 529 Plans.
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Commentary: Don’t Be Selective About Disclosure.
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MSRB Publishes Market Advisory on Selective Disclosure.
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MSRB Addresses Selective Disclosure: Mintz Levin
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MSRB Issues Advisory on Selective Disclosure of Material Information: Day Pitney
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Commentary: Duty of Care Enforcement for Municipal Advisors.
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MSRB Seeks to Clarify and Extend Requirements for Obtaining CUSIP Numbers.
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T+2 Settlement Cycle Goes Into Effect Tuesday.
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MSRB Reminds Municipal Market Participants that the Two-Day Settlement Cycle Becomes Effective September 5, 2017.
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GASB Financial Reporting Model: Project Update
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GASB On the Horizon: Capitalization of Interest Cost.
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U.S. Muni Bond Issuers Should Break Out Bank Loans – Rulemaker.
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Muni Bond Issuer and Underwriter Charged With Disclosure Failures.
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This Week In Securities Litigation – SEC Municipal Actions
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MSRB Proposes to Refine the Municipal Fund Securities Data it Collects.
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SEC Charges Issuer, Dealer, Others in First Post-MCDC Enforcement Action.
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Regulatory Reform: BDA Submits Letter to U.S. Treasury Upcoming Report on U.S. Capital Markets and Securities Law & Regulation.
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FAF Trustees Agree to Retain GASB Scope Of Authority Policy Without Modification.
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MSRB Seeks Comment on Refining Data Collected about 529 Plans and ABLE Programs.
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MSRB Amends Municipal Fund Security Advertising Requirements.
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NABL: SEC Charges Issuer, Underwriter That Did Not Report Under MCDC.
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Counting Munis as Liquid Even If Markets Are Dry.
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Dallas Bond Deal for Statler Hotel Rehab Being Probed by SEC.
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SR-FINRA-2017-027 – Proposed Rule Change.
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BDA to Submit Comment Letter: DOL Fiduciary Rule.
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Labor Department Seeks 18-Month Delay in Fiduciary Rule.
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Market Wary of Planned MSRB Primary Offering Concept Release.
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Ex-Los Angeles Investment Banker Gets Extra Five Years for Tribal Bond Fraud.
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MSRB Examining Primary Offering Practices and Rules.
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MSRB Announces New Officers and Board Members for Fiscal Year 2018.
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MSRB Modernizes Customer Account Transfer Rule.
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What Happened to L.A.’s Push to End its Pay-to-Play Reputation? So Far, Not Much.
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Conflicted Counsel: The MSRB Cautions Against Issuer Selection of Underwriter’s Counsel.
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FINRA and the MSRB Issue FAQs on Bond Mark-Up Disclosure.
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Town Supervisor: Bonding Adviser Removed During Investigation.
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FINRA And The MSRB Issue FAQs On Bond Mark-Up Disclosure: WilmerHale
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MSRB Holds Quarterly Board Meeting.
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MSRB Publishes Market Advisory Addressing Conflicts of Interest with Issuer Designation of Underwriter’s Counsel.
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MSRB’s G-42 Guidance Notes Ambiguities for MAs in Conduit Issues: Burr & Forman
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House Committee Unanimously Approves Bill to Classify Municipal Bonds as High-Qualify Liquid Assets.
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BDA Submits Comment Letter: Proposed Limited Safe Harbor from FINRA Debt Research Rules for Desk Commentary.
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MSRB Announces Topics to be Discussed at July Board Meeting.
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New MSRB Fee to be Assessed on Underwriters to 529 College Savings Plans.
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Study Finds EMMA has Reduced Price Volatility, Price Differentials.
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Electronic Trading: Strengthening Best Execution in the Muni Market.
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SIFMA Asks SEC to Reject ‘Inefficient’ MSRB Account Transfer Proposal.
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MSRB Names General Counsel and Chief Compliance Officer.
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MSRB Provides Implementation Guidance on Mark-up Disclosure.
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MSRB and the Municipal Forum of New York Host Municipal Finance Day in Washington, DC.
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MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios.
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Groups Ask MSRB to Broaden CUSIP Exception for Private Placements.
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SIFMA Submits Comments to the SEC on Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers.
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BDA Submits Comment Letter: MSRB Second Request for Comment on Draft Amendments to and Clarifications of MSRB Rule G-34, on Obtaining CUSIP Numbers.
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MSRB MA Compliance Guidance Details Rules for Firms, Professionals.
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MSRB Publishes Compliance Advisory for Municipal Advisors + Webinar
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SEC Probes Bankers From Barclays, Morgan Stanley on Puerto Rico Bond Sales.
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New MSRB Compliance Advisory Helps Municipal Advisors with Identifying Potential Compliance Risks.
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Cadwalader Lawyers Say That Financial CHOICE Act Might Alter SEC Enforcement Strategies And Procedures.
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Commentary: Remodeling the Rule Book.
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MSRB Files Proposed Amendments to Municipal Fund Security Advertising Requirements.
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Many MA Firms Have Yet to Get Their Advisors Qualified.
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MSRB Publishes Guide for Customer and Municipal Advisory Client Complaint Problem and Product Codes (and Webinar).
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Reminder: Comments on Draft Amendments to MSRB Rule G-34 on CUSIP Numbers Due Next Friday, June 30.
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NFMA Recommended Best Practices in Disclosure for Local Government General Obligation Debt.
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MSRB: See How Government Finance Professionals Use the MSRB’s EMMA Website when Issuing Bonds.
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MSRB: Hear From Government Finance Professionals About How EMMA Helps With Fulfilling Disclosure Obligations.
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MSRB Announces New Strategic Goals, Including Focus on Supporting Compliance and Enhancing the EMMA Website.
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MSRB Publishes Guide for Customer and Municipal Advisory Client Complaint Problem and Product Codes.
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Treasury Recommends Treating High-Grade Munis as HQLA.
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A Town’s ‘Creative Accounting’ Leads to a Fraud Conviction.
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As the Countdown to the New Issue Price Regulations Continues, Let the Document Negotiations Begin!
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Outline For Discussion Of New Issue Price Rules.
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Analysts: Muni Disclosure Varies by Sector.
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MSRB Adds Exception in Revised Proposal Requiring CUSIPs for Private Placements.
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GASB On The Horizon: Debt Disclosures, Including Direct Borrowing.
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Coming Soon: New GASB Leasing Guidance.
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BDA Submits Comments to Department of the Treasury and the Internal Revenue Service on Recommendations for the 2017-2018 Priority Guidance Plan.
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MSRB Seeks Additional Comment on Requirements for Obtaining CUSIP Numbers.
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The Effective Date of the New Issue Price Regulations is Near.
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MSRB Files Amendments to Modernize Customer Account Transfers.
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Single Audit Roundtable Meets.
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SIFMA Municipal Division Recognized by National Federation of Municipal Analysts.
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Dodd-Frank Rollback Could Hinder Funding of Accounting Standards Board.
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BDA Submits Comment Letter: SEC Proposed Amendments to 15c2-12.
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SIFMA Submits Comments to the SEC on Proposed Amendments to Rule 15c2-12.
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New York Town Official Convicted in Landmark Bond Fraud Case.
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NFMA Comments on Proposed Amendments to SEC Exchange Act Rule 15c2-12.
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BDA / Nixon Peabody Issue Price Summary Document.
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MSRB to Pull its Proposed Minimum Denomination Rule from the SEC.
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MSRB Provides Guidance on Application of Rules to Solicitor Municipal Advisors.
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MSRB Holds Quarterly Board Meeting.
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MSRB Reminds Municipal Advisors of September 12, 2017 Deadline for Series 50 Exam.
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T+2 Settlement Cycle Change Set for September 2017.
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House Financial Services Committee Holds a Markup of the Financial CHOICE Act.
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Most Special Districts Lag in the Transparency Department.
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BDA Comment Letter on the Presidential Memo on the Fiduciary Duty Rule.
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MSRB to Mull MA Impact Analysis, Critical Comments at Meeting.
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