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The Securities and Exchange Commissions whistleblower office fielded more allegations involving municipal securities and public pensions in fiscal year 2016 than ever before, according to a report the office sent to Congress about recent whistleblower activity.
By Jack CaseyNovember 16 -
The National Federation of Municipal Analysts has announced the 2016 winner of its annual Peter Fugiel Scholarship and acknowledged two honorable mentions.
By Jack CaseyNovember 16 -
Securities and Exchange Commission chair Mary Jo White on Tuesday said the numerous violations the commission's municipal continuing disclosure enforcement initiative uncovered may mean the SEC needs direct regulatory authority over issuers.
By Jack CaseyNovember 15 -
The Municipal Securities Rulemaking Board wants to amend its proposal to require dealers to disclose their markups and markdowns in certain transactions by lengthening its implementation timeline and clarifying provisions that market participants have criticized.
By Jack CaseyNovember 15 -
Securities and Exchange Commission chair Mary Jo White announced today that she will leave her position at the end of the Obama administration.
By Jack CaseyNovember 14 - Puerto Rico
As government leaders both nationally and in Puerto Rico enter transition periods after last weeks elections, Treasury is reminding officials both old and new to give a high priority to assistance for the commonwealth.
By Jack CaseyNovember 14 -
Municipal market groups and other market participants are recommending that the Municipal Securities Rulemaking Board focus its future strategic priorities on improving its EMMA system and transparency as well as cost-benefit analyses of its rulemaking.
By Jack CaseyNovember 14 -
The Municipal Securities Rulemaking Board's proposal to require dealers to disclose their markups and markdowns in certain transactions is long overdue and will greatly benefit retail investors, said the Securities and Exchange Commission's Investor Advocate.
By Jack CaseyNovember 10 -
Scottrade has agreed to pay $150,000 to settle Financial Industry Regulatory Authority charges that it did not identify bonds as callable in approximately 5,000 municipal securities transactions.
By Jack CaseyNovember 7 -
The par amount of municipal trades continued to grow in the third quarter of 2016, reaching a three-year high and beating the total from the third quarter a year ago by more than 50%, according to recently released Municipal Securities Rulemaking Board statistics.
By Jack CaseyNovember 4