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The two years since the announcement of the Securities and Exchange Commissions Municipalities Continuing Disclosure Cooperation initiative have contained vast improvements in disclosure for the municipal market but there are still issues to tackle and questions to ask as disclosure continues evolving, market participants speaking on a panel here said.
April 22 -
The Municipal Securities Rulemaking Boards proposal to require dealers acting as principals to disclose their markups and markdowns on retail confirmations would add complexity to the market and subject dealers to significant costs, dealers and others said here on Thursday.
April 21 -
About of 50 of the 650 registered municipal advisors were examined by the Securities and Exchange Commissions Office of Compliance Inspections and Examinations in fiscal 2015, the office director told House subcommittee members on Thursday.
April 21 -
The Municipal Securities Rulemaking Board will move forward with a revised proposal that would mandate municipal securities transactions be closed out within 20 instead of 30 days of settlement, Lynnette Kelly, the MSRBs executive director said on Monday.
April 18 -
The Securities and Exchange Commissions municipal enforcement unit could be bringing more cases with concurrent criminal charges in the future as it plans to increase its coordination with the Department of Justice and the Federal Bureau of Investigation.
April 18 -
Bond Dealers of America will be working on a full plate of issues this year as it helps its members navigate recent and ongoing regulatory developments while maintaining its educational and Capitol Hill-centered work, said new BDA board chair John Fechter.
April 18 -
First Winston Securities, Alton Securities Group, and MidAmerica Financial Services were ordered to pay a total of $115,000 in fines and restitution by the Financial Industry Regulatory Authority for violation of municipal securities rules.
April 15 -
House Republican leaders plan to hold a policy meeting Friday morning with their members on pending legislation for Puerto Rico to try to gain more support for it.
April 14 -
In parallel actions on Thursday, the Securities and Exchange Commission and the U.S. district attorney for the Southern District of New York filed civil and criminal charges against Ramapo, N.Y., officials for misleading investors in connection with bonds issued to finance a minor league baseball stadium.
April 14 -
The House Committee on Natural Resources is moving forward with a bill to help Puerto Rico that loosens provisions regarding the oversight board but still keeps the cram down and debt litigation moratorium portions of an earlier version that drew criticism.
April 12