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The firm settled charges with FINRA over failing to include the Non-Transaction Based Compensation indicator for 91,059 reports of municipal securities transactions over a five year period.
January 12 -
The D.C.-area agency, unique among mass transit systems in that it has no dedicated operating funding, faces the same challenges as other transit agencies: fewer riders and federal support.
January 11 -
Roughly 70% of the grants will go to projects in disadvantaged areas.
January 11 -
Insurance companies and banks have collectively reduced their municipal bond holdings by $102 billion, or 10% in just nine months in 2023.
January 11 -
The Senate Budget Committee gave municipal bonds center stage Wednesday.
January 10 -
Republicans are threatening to try to overturn the rule through the Congressional Review Act.
January 9 -
The Governmental Accounting Standards Board's new disclosure requirements focus on concentrations and constraints and governments will have to comply by June 15, 2024.
January 9 -
House Republicans want 2024 appropriations offset with cuts from "COVID-era slush funds."
January 8 -
"It's inevitable there will be spending cuts," said Emily Brock, federal liaison for the Government Finance Officers Association.
January 5 -
Without admitting or denying the findings, David Elgart of Sequoia Investments has agreed to a $20,000 fine and an 18-month suspension from association with any FINRA member firm for acting as an unregistered dealer.
January 5