-
MSRB boosts help for issuers by offering them an online simulation of a bond financing.
By Jack CaseyApril 18 -
Fifteen state and local groups are asking Congress to advance bills to treat munis as HQLA.
By Jack CaseyApril 17 -
NABL urges OMB to force SEC to be more realistic in estimating burdens for disclosure proposals.
By Jack CaseyApril 12 -
Bank of Oklahoma Financial wants a federal judge to throw out a class action that alleges the bank failed in its trustee role.
By Jack CaseyApril 11 -
FINRA expanded its sanctions guidelines and suggested several penalties be more severe.
By Jack CaseyApril 10 -
Two senators have asked Puerto Rico's oversight board to show it is following PROMESA.
By Jack CaseyApril 10 -
Dwayne Edwards and the entities he controlled are arguing the SEC’s arguments against them for fraud are based on inaccurate information.
By Jack CaseyApril 5 -
The SEC has announced a settlement with an Arizona-based brokerage firm, its chief executive officer, and its former underwriter's counsel and head of investment banking over charges related to fraudulent municipal bond offerings related to Atlanta businessman Christopher Brogdon.
By Jack CaseyApril 5 -
Jay Clayton’s nomination to be SEC chair cleared the Senate Banking Committee on Tuesday and will now move to the full Senate.
By Jack CaseyApril 4 -
A number of municipal market groups and firms asked the MSRB in comment letters to create an exemption to its CUSIP rule that would allow placement agents to generally avoid having to obtain CUSIP numbers when they are engaging in private placements, including direct purchases.
By Jack CaseyApril 3