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NABL Takes Complaints About SEC Disclosure Rule Proposal to OMB.
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Groups Urge MSRB to Drop Idea of Requiring CUSIPs for Private Placements.
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NFMA Response to the MSRB’s Request for Comment on Draft Amendments to and Clarifications of MSRB Rule G-34.
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SIFMA Submits Comments to the MSRB on Draft Amendments to Rule G-34 on Obtaining CUSIP Numbers.
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Arizona Broker-Dealer Settles Charges it Underwrote Fraudulent Muni Bonds.
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SEC Sanctions Muni Underwriter For Repeated Fraudulent Offerings.
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Senators Reintroduce Bipartisan Bill to Provide Financial Stability to Muni Bonds.
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The SEC’s Proposed Changes To Rule 15c2-12 Could Have Far-Reaching Impact On Issuers And Obligors Of Municipal Securities: Foley & Lardner
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SIFMA Proposes ‘Revocable Bids’ in Draft Document for Issue Price Rules.
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NAMA Wants MSRB to Withdraw Proposed Muni Advisor Advertising Rule.
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BDA Comment Letter: MSRB Request for Comment on Amendments to MSRB G-21 and Advertising Standards for Municipal Advisors (MSRB G-40).
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Senate Bill Would Allow SEC to Impose Higher Securities Law Fines.
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Senate Repeals Labor Dept. Municipal Retirement Plan Rule.
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SIFMA Statement on Senate Passage of CRA Resolution on Municipal Retirement Plans.
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Reminder: Comments on Draft Amendments to MSRB’s Rule on CUSIP Numbers Due Next Friday, March 31.
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BDA Comment Letter to DOL on Proposed 60-Day Delay to Applicability Date of the Fiduciary Duty Rule.
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Clayton Would Make Enforcement of Individuals a Priority.
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Foley & Lardner: New Regulations on Issue Price of Tax-Exempt Bonds.
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SIFMA: SEC Approves Move to Shorter T+2 Settlement Cycle for Munis and Other Securities.
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SEC Seeks Comment on Proposed Amendments to Municipal Securities Disclosure Rule.
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SEC Proposes Expansive New Continuing Disclosure Requirements Regarding Private Debt and Other Financial Obligations.
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SEC’s Proposed Disclosure Amendments Criticized as too Costly, Burdensome.
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MSRB Seeks to Establish Continuing Education Requirements for Municipal Advisors.
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FINRA Hits Santander with $175K Fine for Charging Customers Unfair Muni Bond Prices.
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BOK Financial Sued Over Municipal Bond Deals.
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Reminder: Comments on Draft Amendments To MSRB’s Advertising Rules Are Due Next Friday, March 24.
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Lawyers Concerned About Burdens From SEC Disclosure Amendments.
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The SEC’s Proposed Changes to Rule 15c2-12 Could Have Far-Reaching Impact on Issuers and Obligors of Municipal Securities: Foley & Lardner
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MSRB Publishes Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing.
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Dealers Say MSRB Minimum Denomination Rule Would Hurt Investors.
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Ex-NY Area Development Official Pleads Guilty in Landmark Municipal Bond Case.
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SEC Takes First Step on Disclosure of Bank Loans to States, Localities.
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SEC to Propose Issuer Disclosures on Bank Loans, Private Placements.
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SEC Proposes Rule Amendments to Improve Municipal Securities Disclosures.
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MSRB Statement on SEC Proposal to Improve Bank Loan Disclosure.
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MSRB Draft Rules Would Clarify CUSIPs Needed for Private Placements.
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MSRB Seeks Comment on Draft Amendments to and Clarifications of Rule on CUSIP Numbers.
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Hawkins Advisory: Municipal Market Regulatory Update.
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Will President Trump’s Regulation Cuts Reduce Ongoing Disclosure For Bond-Financed Projects? Holland & Knight
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MSRB Data Subscription Services and Products.
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The Coming Transparency Wave: GASB 77
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Morgan Stanley Fined Over Excessive Pricing of Munis.
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Getting Serious About Government Fraud.
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Supreme Court Midterm Review for Local Governments 2017.
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SIFMA Submits Comment to the MSRB on Draft Amendments to Modernize MSRB Rule G-26 on ACATS.
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Issuers Giving Themselves More Time to Disclose Financials.
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FINRA Says UBS Must Pay $9M to Puerto Rican Muni Investor.
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Morgan Stanley Pays FINRA Fine Over Municipal Bond Trades.
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CA Bond Watchdogs Don’t Have Much Bite, Says New Report.
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Will President Trump’s Regulation Cuts Reduce Ongoing Disclosure for Bond-Financed Projects?
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MSRB Proposes New Ad Rule for MAs, Revised One for Dealers.
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MSRB: Continuing Disclosure Timing Remains Stable.
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HFS Committee to Review Muni Regulators, Others.
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MSRB Enhances EMMA Alerts Tool.
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Munis Could be Caught Up in Revised CHOICE Act’s Mandated SEC Reviews.
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Trump Executive Order Encourages SEC to Review Cost of Regulations.
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MSRB Plans to Codify CUSIP Requirements for Private Placements.
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Trump Order on Dodd-Frank Opens Possibility for Muni Rule Review.
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FINRA Expels BD, Bars CEO for Fraudulent Muni Bond Sales.
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MSRB Holds Quarterly Board Meeting.
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MSRB Files Minimum Denomination Rule With SEC.
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Hawkins Advisory (Final Issue Price Regulations)
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MSRB Files Standalone Minimum Denomination Rule With SEC.
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Muni Groups Push for EMMA Improvements.
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MSRB Holds Quarterly Board Meeting.
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Bond Dealers of America Launches Small Firm Division.
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SIFMA with Other Associations Submit Comments to the MSRB with Recommendations to Improve the EMMA Platform.
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MSRB Hires Chief Economist.
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MSRB Announces Regulatory Topics to be Discussed at January Board Meeting.
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SEC Approves New Complaint Process for MAs; Update for Dealers.
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MSRB to Apply Customer Complaint Rules to Municipal Advisors and Modernize Existing Rules for Dealers.
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UBS Hit With Second $18M Ruling Over Puerto Rican Munis.
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MSRB Net Assets of $70M in FY-2016 Almost Triple Those of 2010.
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Port Authority Pays $400,000 for Not Disclosing Bond Risks.
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Port Authority Will Pay $400,000 to Settle Federal Securities Charges.
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Choice of Clayton for SEC Fits With Deregulation.
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FINRA 2017 Exam Priorities Include MA Registration, Best Execution.
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OUTLOOK: Markup Disclosure, MA Rules On Tap for 2017 Despite SEC Uncertainty.
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MSRB Seeks Board of Directors Applicants.
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MSRB Publishes 2016 Annual Report and Audited Financial Statements.
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MSRB Requests Comment on Modernization of Customer Account Transfers.
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BDA to Submit Petition for SEC Rulemaking: Amendments to Form ADV.
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Municipal Advisors: Mark Your Calendars with Annual Compliance Dates.
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Dealers, MAs Push for MSRB to Fix Proposed Rule Changes on Complaints.
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SEC Ends MCDC Settlements, Turns to Violators That Didn’t Participate.
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GFOA Members Warn Disclosure Bill Could Push Some Issuers Out of Market.
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SIFMA Continuing to Work to Improve Disclosure.
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NFMA Municipal Analysts Bulletin.
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Muni Disclosure Responsibility Would Shift to Issuers from Underwriters in New Bill.
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Judge Slashes SEC’s Proposed Fine for Ex-Miami Budget Director.
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Republican Groups, FSI Urge Federal Court to Vacate Rule G-37 Changes.
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MSRB Instructs Dealers to Disclose Existence of Market Discount in Municipal Bond Transactions: Chapman and Cutler
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SIFMA Warns Fed Basel Capital Standards for Trading Would Hurt Munis.
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SIFMA Submits Comments to the Federal Reserve System on FRTB.
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MSRB’s Markup Disclosure Requirements to Take Effect in May 2018.
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MSRB Provides Guidance on Application of Rules to Transactions in Managed Accounts.
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MSRB Reminds Dealers of Time of Trade Disclosure Obligations Related to Market Discount Bonds.
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SEC Seeks Record Penalty Against Former Miami Budget Director: Holland & Knight
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SEC Approves MSRB’s Markup Rule, Drawing Criticism From Dealers.
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MSRB to Dealers: Inform Investors About Market Discount Bonds at Time of Trade.
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NABL: SEC Chair White Expresses Possibility of Issuer Regulation.
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Justice Mulls False Claims Act Charges Against Issuers, Borrowers, MAs.
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Municipal Securities Investors to Gain Access to Dealer Compensation Information.
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MSRB Files Amendment to Mark-up Disclosure Proposal.
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MSRB Announces February 27, 2017 Effective Date of Academic Historical Data Product.
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MSRB Academic Trade Data Product Available Feb. 27.
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MSRB Extends Effective Date, Clarifies Provisions in Markup Filing.
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N.Y. Audit Firm Settles SEC Charges Of Issuing Fraudulent Reports.
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Groups Want MSRB to Focus on EMMA, Market Costs as Strategic Goals.
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SEC Approves FINRA Plan to Disclose Mark Ups in Bond Prices.
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Banker’s Roles with Issuer-Related Charitable Groups Raise Questions.
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NFMA Responds to MSRB’s Request for Comment.
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MSRB Reminds Municipal Securities Dealers of the November 16, 2016 Effective Date of Amendments to Rule G-12 on Close-out Procedures.
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SEC Investor Advocate Recommends Approval of FINRA and MRSB Proposals on Mark-up Disclosure.
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BDA Submits Comment Letter to MSRB on Long-Term Strategic Priorities.
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MSRB Identifies Potential Risks for Retail Municipal Market Investors.
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MSRB Announces Members of Investor Advisory Group.
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MSRB Board Discusses Mark-up Disclosure and Other Topics.
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MSRB Files Proposed Rule Change to Extend MSRB’s Proposed Customer Complaint and Related Rules to Municipal Advisors and to Modernize Those Rules.
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MSRB Seeks New Complaint Process for MAs, Updated One for Dealers.
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Reminder: Comments on the MSRB’s Strategic Priorities are Due by November 11, 2016.
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SEC Approves FINRA Rules Addressing “Pay-to-Play” Practices: Ropes & Gray
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SEC Director Describes Enforcement Activities In The Public Finance Market: Cadwalader
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SEC: Firm And Partner Charged With Issuing Fraudulent Audit Reports.
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SEC Settles with Auditor in NYC Suburb’s Bond Fraud Case.
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MSRB Holds Quarterly Board Meeting.
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FINRA Examiners Probing Firms’ Involvement with Bank Loans.
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Justice Probes Municipal-Bond Issuers Over Treasury Profits.
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MSRB Responds to Issuer Complaints and Improves Bank Loan Disclosures On EMMA.
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SEC Will Tell All MCDC Submitters If They Face Enforcement Action.
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SIFMA Submits Comments to the MSRB on Clarifying Exceptions to Minimum Denomination Rule.
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MSRB Announces Regulatory Topics to be Discussed at October Board Meeting.
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SEC’s Ceresney Tells Muni Market Enforcement Focus is ‘Here to Stay’
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MSRB Amends Its Quorum Requirements to Include Municipal Advisors.
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Dealers: Proposed MSRB Minimum Denomination Rule Would Hurt Liquidity.
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Ceresney Warning: Expect Continued SEC Enforcement Activity Regarding Municipal Securities.
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MSRB Requests Input From Market on Future Strategic Planning.
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Woodell Hopes to Start New Initiatives During Tenure as MSRB Chair.
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SEC Approves Fund Liquidity Rules, Sparking Concern for Munis.
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SEC Stepping Up Enforcement of Public Finance Market.
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SIFMA Submits Comments to SEC on Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers.
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BDA Submits Comment Letter to the SEC: MSRB Retail Confirmation Disclosure Rule Proposal.
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Dealers to SEC: Markup Proposal Overly Complex, Would Hurt Liquidity.
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Municipal Advisors Put Focus on Staying Clear of Dealer Activity.
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SEC Examiners Find MA Violations, Expect More Reviews Next Year.
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Municipal Advisor and Issuer Needs Post MCDC.
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MSRB Files Amendment to Rule A-4 on Meetings of the Board.
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Miami to Pay $1 Million to Settle SEC Municipal Bond Fraud Case.
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MSRB Seeks Input on Strategic Priorities.
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Woodell Hopes to Start New Initiatives During Tenure as MSRB Chair.
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SEC Votes to Propose Shortening Settlement Cycle Timeframe.
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MSRB Proposes Standalone Minimum Denomination Rule.
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MSRB Improves Bank Loan Disclosure on EMMA After Issuer Complaints.
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MSRB Seats New Board and Announces Priorities for New Fiscal Year.
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MSRB Requests Comment on Establishing Continuing Education Requirements for Municipal Advisors.
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MSRB Seeks Comment on Creating New Rule to Clarify Minimum Denomination Provisions.
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NABL: MSRB Updates Congress on Implementation of Dodd-Frank Act.
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MSRB Updates Congress on Completion of Core Regulatory Framework for Municipal Advisors.
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Issuers: Verify the Professional Qualifications of Your Municipal Advisor.
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NABL: House Financial Services Subcommittee Holds Hearing on Municipal Securities.
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MSRB to Lawmakers: 680 Firms, 4,500 Professionals Registered as MAs.
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House Financial Services Committee Holds Hearing on Municipal Securities Regulators.
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How MCDC Has Changed Continuing Disclosure Practices.
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Why Dealers Are Struggling with Proposed Markup Disclosure.
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NASACT Signs Letter Asking Senators to Support Classifying Municipal Securities as HQLA.
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BDA Submits Comment Letter on FINRA Gifts, Gratuities and Non-Cash Compensation Rules.
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Watch Live: MSRB’s Lynnette Kelly Testifies Before Congress on Market Transparency Priorities.
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MSRB Chair Nat Singer Submits Letter to Congress on Implementation of the Dodd Frank Act.
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Bank Loan Disclosure Enhancements Coming to EMMA.
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NABL: House Financial Services Committee Approves Financial CHOICE Act.
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SEC Commissioner: Examine Regulating Corporate Conduit Borrowers.
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In a First Federal Jury Trial, Miami, Boudreaux Found Guilty.
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SEC Allows MSRB to Provide Three-Year Old Trade Data to Academics.
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MSRB to Facilitate Municipal Market Research with New Academic Data Product.
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Jury Finds Miami Defrauded Bond Investors.
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SEC, City of Miami Lay Out Final Arguments in Bond Case.
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SEC’s Miami Win Likely to Embolden Muni Crackdown: Lawyers
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First Municipal Advisor Political Contribution Disclosures Due in October.
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SEC Approves FINRA & MSRB (Almost) Pay-to-Play Rules.
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SEC Announces Enforcement Actions Under Its Muni Bond Disclosure Initiative: Akin Gump
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SEC Charges 71 Municipal Issuers and Obligated Persons Pursuant to Municipalities Continuing Disclosure Cooperation Initiative: Andrews Kurth
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MSRB Proposes Historic Dealer Markup Disclosure for Retail Investors.
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BDA Submits Comment Letter to the SEC on FINRA’s Retail Confirmation Rule.
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Big Banks Don’t Follow Goldman on Trump Donation Ban.
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SEC Fines BOK Financial Over Municipal Bond Scheme.
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MSRB Leverages Learning Technology to Offer Municipal Market Education.
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Piper Jaffray Fined $12,500 Over Primary Market Disclosure Violations.
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Treasury Department Releases 2016-17 Priority Guidance Plan for Tax-Exempt Bonds – And It’s Already About One-Third Complete!
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SEC Investor Advocate Worried About Narrowing of Muni Market.
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SEC Aims to Exclude Municipal Advisors from its Pay-to-Play Rule.
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SEC: Investor Protection in the Municipal Securities Markets.
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SEC’s Investor Advocate Talks Municipal Bonds.
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MSRB Seeks Mark-up Disclosure for Municipal Securities Transactions.
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SEC Approves MSRB’s Shorter Period for Resolving Interdealer Failures.
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SEC Announces MCDC Issuer Enforcement Actions.
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SEC: Issuer Settlements Show Widespread, Pervasive Disclosure Problems.
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SEC Aims to Exclude Municipal Advisors from its Pay-to-Play Rule.
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SEC Says 71 Muni Borrowers Lied About Disclosure Histories.
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SEC Charges 71 Muni Issuers for Misleading Investors.
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