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In the SEC inquiry, along with a separate FAA investigation, regulators are trying to determine if airport revenues were misspent.
October 24 -
The Securities and Exchange Commission issued a non-public letter to the city of Atlanta last week, prompting a possible investigation into its airport.
October 17 -
The dealer entered into two municipal bond orders into a recently deceased customer's account.
October 17 -
Years after the Securities and Exchange Commission enacted a rule to require floating net asset values, finance officers are fighting the legislative malaise to try to undo it.
October 16 -
The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.
October 15 -
Also revealed is the addition of longtime NABL member Perry Israel to the Edelweiss Fund legal team.
October 15 -
Though many participants were pleased with changes the Municipal Securities Rulemaking Board has proposed for its fair dealing guidance, some worried about new compliance expectations.
October 9 -
The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.
October 9 -
Administrative failures or a lack of understanding of the rule may be to blame.
October 7 -
Municipal advisors can begin taking their principal exams in November.
October 4