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He served a third of his career as a senior managing director of Citi’s Institutional Clients Group, a role from which he retired in June 2019.
April 8 -
Demonstrating compliance with pricing and supervision rules has been challenging in the COVID-19-influenced market.
March 27 -
“Anybody who’s having an event between now and May is considering what to do about it,” said Mike Nicholas, CEO of the Bond Dealers of America.
March 12 -
The American Securities Association sent a letter to the SEC regarding the regulator's proposed exemptive order for muni advisors, calling it an "ill-advised effort."
February 13 -
The dealer group has opposed the proposed order from the start, and is keeping the pressure on as the SEC appears poised to approve the proposal in some form.
February 3 -
The Securities Industry and Financial Markets Association survey indicates low interest rates will keep the environment for issuing debt favorable.
January 15 -
The Municipal Securities Rulemaking Board's assets dropped by $8.5 million.
January 10 -
An SEC advisory committee recommended allowing investment advisers affiliated with broker-dealers to offer and sell negotiated new issue muni bonds during the order period that the dealer also participates in.
January 10 -
In the wake of the recent U.S. attack on an Iranian general, U.S. financial institutions are preparing to defend against potential cyberattacks.
January 8 -
As surface transportation funding is set to expire later in 2020, a new reauthorization could help push muni bond initiatives next year.
December 30