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Members of the Government Finance Officers Association raised concerns with the Securities and Exchange Commission's proposed rule changes that would require open-end mutual funds and exchange traded funds to take steps to manage liquidity risks so they could handle redemptions during periods of financial stress.
December 11 -
Fifteen organizations are urging members of the House of Representatives to vote on a proposed bill that would treat investment grade and actively traded municipal securities as high quality liquid assets under a bank liquidity rule adopted by bank regulators in September of last year.
December 7 -
Two dealer groups are urging the Securities and Exchange Commission to disapprove the Municipal Securities Rulemaking Boards proposed municipal advisor core conduct rule, despite an amendment that would provide an exception to the rules controversial principal transaction ban.
December 2 -
Three muni regulators and enforcement agencies are opening registration for a free compliance outreach program for municipal advisors that they plan to hold in Philadelphia on Wednesday, Feb 3, 2016.
December 1 -
Bond Dealers of America plans to move its offices to K Street here on Dec. 7 to have more space in which to grow and to continue to enhance its lobbying efforts.
November 30 -
The Municipal Securities Rulemaking Board on Monday announced seven members of an investor advisory group designed to give its board of directors additional expertise on investor protection issues.
November 30 -
Christopher Brogdon, the retirement home financier who is facing Securities and Exchange Commission charges, has denied being liable for a particularly problematic deal in new filings with a federal court in Georgia.
November 25 -
The Municipal Securities Rulemaking Board is working with the Securities and Exchange Commissions Investor Advocate to identify areas in the muni market that could hurt retail investors.
November 25 -
Municipal market participants want to know why it has taken securities regulators so long to stop Christopher Brogdon from swindling investors by misusing for personal gain the proceeds of bonds and private placements that were supposed to finance the purchase and renovation of senior living facilities.
November 23 -
The Municipal Securities Rulemaking Board's proposed rule changes to lengthen its board members' terms to four years from three has garnered general support from dealer and advisor groups as well as the Securities and Exchange Commission's Office of the Investor Advocate.
November 23