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Both BDA and SIFMA have now both asked the SEC not to grant regulatory relief to PFM, one of the largest municipal advisors in the business.
July 2 -
A PFM letter caused a firestorm among dealer groups who say that if municipal advisors want to engage in broker-dealer activities, they need to register as such.
June 24 -
The new events became effective in late February, and hundreds of Event 15 disclosures have filed in, with just a handful of Event 16 filings.
June 20 -
A recent NABL webinar reminded the market that MAs can face liability under anti-fraud provisions of the Securities Exchange Act.
June 20SOLVE -
State and local governments and trade groups have until Sept. 13 to submit comments on the 48-page exposure draft GASB released June 13.
June 18 -
On Wednesday, the SEC approved the final rule 3-1, with Commissioner Robert Jackson voting against the rule.
June 5 -
Some stakeholders say the CUSIP requirement for MAs is needed, while other say it is burdensome.
May 28 -
Municipal Securities Rulemaking Board Chair Gary Hall said the MSRB will examine governance rules such as the time period between when individuals leave their industry jobs and when they are allowed to become public board members.
May 19 -
GFOA members said they were taken aback and in some cases upset about the tone of the National Federation of Municipal Analysts' letter to regulators.
May 19 -
The BDA believes that in addition to removing the Rule’s restriction on competitively bid transactions, it should consider simply eliminating it altogether.
May 16Bond Dealers of America