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“A highly sophisticated frequent issuer may not need the same disclosures as a less sophisticated infrequent issuer,” the trade association for underwriters told the SEC.
September 3 -
Two courts have interpreted a legal question key to the VRDO lawsuits very differently.
August 29 -
The National Federation of Municipal Analysts's latest paper is part of the group's push to encourage "more robust" secondary market disclosure.
August 28 -
Late last week FINRA sent out a notice reminding its members to register as MAs if they engage in investment-related activity with their clients.
August 23 -
Market participants want someone with a deep industry knowledge as the MSRB is set to begin its search for a new president.
August 16 -
In Schwartz, MSRB loses an experienced lawyer, respected by his peers, as it faces a future without its longtime leader.
August 8 -
Edward Sisk, a managing director and head of public finance at Bank of America Merrill Lynch, will chair the Municipal Securities Rulemaking Board beginning Oct. 1.
August 7 -
MSRB President and CEO Lynnette Kelly will be retiring at the end of the fiscal year after 12 years leading the organization.
August 6 -
The SEC and Bank of Oklahoma differ in what they want a federal judge to do next in the Christopher Brogdon case, though both claim to have investors' best interests at heart.
August 5 -
FINRA settled with two parties after they violated MSRB Rule G-17 by whiting out dates and failing to disclose a $2 million fee up until an issuance.
August 2