Regulation and compliance
Regulation and compliance
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The meeting will be held on July 23 and 24.
July 18 -
SROs "are now being guided by individuals who lack a deep real-world understanding of the markets they oversee," the trade association said in a letter to the House Financial Services Committee.
July 16 -
"We supported the approved rule change and are extremely disappointed that the MSRB is now proposing to halt the progress it had been making toward full and complete transparency in the municipal securities market," Dimensional Fund Advisors officials said in a letter.
July 14 -
Isaak Bond Investments has agreed to pay a $20,000 fine to settle allegations brought by the Financial Industry Regulatory Authority.
July 9 -
"I've always really enjoyed what I do," said Henry, who began doing legal work involving municipal securities in 1981.
July 9 -
"If you are seeking the services of a municipal advisor, it would be helpful to use the term municipal advisor in your RFP/Qs," said Sanchez, director of the SEC's Office of Municipal Securities.
July 3 -
Chicago had a $161 million deficit in fiscal year 2024, according to the annual comprehensive financial report the city released on Monday.
July 1 -
"I think your first question to them should be 'Are you from the future?,'" the deputy director of the SEC's Office of Municipal Securities said.
July 1 -
The updated document also addresses disclosure relating to cybersecurity.
June 25 -
Some market participants said they were sad to see EMMA Labs go.
June 24