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Regulators have ambitious plans for 2023, which include best execution and time of trade proposals.
December 27 -
PNC Capital Markets has agreed to pay almost $200,000 to settle with the SEC over a failure to meet disclosure requirements in connection with 36 limited offerings.
December 22 -
Brandon Comer said the SEC's case alleging breach of fiduciary duty against him lacks evidence, but a federal judge refused to end the case.
December 20 -
State spending growth topped 18.2% in FY 2022, the highest annual increase in state spending since the National Association of State Budget Officers began recording the data in 1979.
December 16 -
The clock is ticking on Congress waiving PAYGO for Build America Bonds, a budget bear trap that could delay promised subsidy payments totaling $14 billion to issuers.
December 16 -
Municipal issuers pushed hard but unsuccessfully against the bill, which gives them four years to standardize their financial information.
December 16 -
Must-pass spending bills and a debt ceiling fight are in the near future.
December 15 -
The regulation would establish a universal standard requiring dealers in any transaction with a customer to use reasonable diligence to get the customer the best price.
December 14 -
Expanded use of stimulus funds, fully funded water infrastructure grant programs and housing assistance are among the asks from League of Cities as Congress crafts a 2023 spending package.
December 14 -
The change would give broker dealers, municipal securities dealers and municipal advisors until Jan. 31 to annually affirm the information on Form A-12, among other changes.
December 14