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Market participants want the Municipal Securities Rulemaking Board's compliance guidance to be clear and within the scope of its authority.
February 20 -
Third-party vendors are confident their products will help dealers comply with new markup disclosure rules, but need to integrate them to dealers' systems.
February 16 -
The MSRB has taken the relatively rare step of asking for public comments on a draft set of frequently asked questions related to the board's primary muni advisor rule.
February 15 -
The Municipal Securities Rulemaking Board wants to prepare broker-dealers for a forthcoming seismic regulatory change.
February 13 -
The Securities and Exchange Commission's spending would be beefed up and its focus on retail investors and self-regulators in the municipal market would be increased under the fiscal 2019 budget request made public Monday.
February 12 -
The Bond Dealers of America is proposing a multi-faceted "business plan" that would give dealers more time to comply with a rule requiring them to disclose their markups and markdowns to retail customers.
February 8 -
MA and broker-dealer compliance with relatively new rules, as well as the MSRB and FINRA, will be in the spotlight.
February 7 -
Orrick Herrington & Sutcliffe will establish its second-largest public finance team in Houston with more than two dozen hires from Andrews Kurth Kenyon.
February 5 -
All but one of the remaining defendants in the Securities and Exchange Commission's case against Ramapo, N.Y., have agreed to settlement terms, according to court documents.
February 2 -
The sanctions involved eight transactions of Alaska bonds issued in 2015 and FINRA found the firm had inadequate supervisory procedures.
February 1