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As the dust settles on the SEC's 15c2-12 announcement, questions loom about how difficult it will be to implement.
August 21 -
The final rules will focus on debt obligations on a similar level as bonds, an effort to respond to comments that the first proposal was too broad.
August 20 -
The MSRB aims to provide considerations for firms looking at their compliance procedures.
August 14 -
The CFTC is set to decide how much swap activity necessitates inclusion in the swap dealer regulatory regime.
August 14 -
While she didn't work on muni issues specifically, Allison Lee is a seasoned buster of financial wrongdoers.
August 8 -
The Municipal Securities Rulemaking Board has selected two individuals representing the public and three from regulated entities from 80 applicants to become part of its 21-member board on Oct. 1.
August 2 -
The report card touts the MSRB's accomplishments, though that doesn't sit well with some market participants.
July 31 -
The MSRB is hurrying to release multiple rounds of guidance on its pending muni advisor advertising rule, but industry groups say the first round could use some polish.
July 30 -
During the new issue pricing period is when institutions place their orders. Independent advisors and their clients are wise to follow the money.
July 24280 CapMarkets -
The sharp decline in trading spreads since 2005 was driven mainly by regulation and technological changes, according to the MSRB's chief economist.
July 18