In the first half of 2024, the Financial Industry Regulatory Authority (FINRA) issued several fines and suspensions against participants in the municipal market, including for violations of its registration, reporting,...more
7/26/2024
/ Broker-Dealer ,
Department of Justice (DOJ) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Financial Services Industry ,
MSRB ,
Municipal Securities Market ,
Proposed Rules ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Summary -
The legislative tug of war continues. Despite a presidential veto on March 20, 2023, of a Congressional resolution that repealed a Department of Labor rule allowing retirement plan managers to weigh climate...more
The municipal green bond market has taken another modest step towards solidifying recognized "green" standards in the market. Moody's previously published a proposed Green Bonds Assessment (GBA) methodology—a forward-looking...more