Connor Hussey is a reporter for the Bond Buyer. Before settling on municipal securities, he covered many facets of the finance industry, including private equity for Private Equity International and Private
Funds CFO, as well as tax for the International Tax Review and financial law for the International Financial Law Review. He has a B.A. in Economics and English Literature from the University of Maine.
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The unexpected suspension raises immediate questions about transactions that have already occurred but have yet to close.
January 30 -
The veteran-owned Academy Securities failed to file Form G-37 reports in a timely manner, and failed to disclose another 60 municipal underwritings where the firm acted in a managerial capacity.
January 30 -
Brandon Comer and his firm Comer Capital Group have to pay the sum as part of a final judgment reached in federal court in Illinois.
January 29 -
The proposed amendments, which help to establish a residential supervisory location to help dealers better adapt to a post-COVID world, were approved at the MSRB's quarterly board meeting.
January 26 -
The SEC has settled charges against Aon Investments and in a separate action, a former executive of the firm for misleading the Pennsylvania Public Employees' Retirement System.
January 25 -
A letter co-sgned by Bond Dealers of America and the Securities Industry and Financial Markets Association urges the Municipal Securities Rulemaking Board to institute its 2024 rate card, for fear that reverting back to 2023 levels would be disruptive for dealers.
January 25 -
Capital Markets Advisors and its co-principals Richard Ganci and Richard Tortora are caught up in a legal back and forth with the SEC over how MSRB Rule G-42 on conflicts of interest applies to their case.
January 23 -
The regulator has charged a former chief compliance officer $15,000 and a firm $100,000 in twp separate enforcement actions.
January 22 -
The second board meeting of FY 2024 will also see the board mull whether it should modernize its dealer supervision rule.
January 18 -
The Municipal Securities Rulemaking Board's 2023 audited financial statement shows the board collected an additional $19 million in revenue as compared with the 2022.
January 17