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MSRB board proposes rules to curb political contributions by municipal advisors

Leonard, Street and Deinard
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USA
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August 19 2011

The Municipal Securities Rulemaking Board, or MSRB, has proposed regulations that it believes would help prevent the influence of political contributions by municipal advisors in the award of business by state and local government officials

MSRB proposes groundbreaking rules on obligations of municipal securities underwriters to government bond issuers

Leonard, Street and Deinard
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USA
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August 2 2011

The Municipal Securities Rulemaking Board, or MSRB, has requested approval from the SEC of a notice that would establish detailed obligations of underwriters of municipal securities to their state and local government clients covering clear disclosure of risks and conflicts of interest, among other things

MSRB files proposal to establish interim municipal advisor assessment

Leonard, Street and Deinard
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USA
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July 28 2011

The Municipal Securities Rulemaking Board, or MSRB, has filed a proposed rule change with the SEC to establish a new interim municipal advisor assessment under new Rule A-11, on municipal advisor assessments, and a new Form A-11-Interim to be used in connection with such interim municipal advisor assessment

MSRB to delay municipal advisor rule proposals

Leonard, Street and Deinard
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USA
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September 12 2011

The Municipal Securities Rulemaking Board, or MSRB, announced that it is delaying its municipal advisor rule proposals currently before the SEC

MSRB files amendments to underwriter fair dealing proposal

Leonard, Street and Deinard
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USA
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November 3 2011

The Municipal Securities Rulemaking Board, or MSRB, today filed amendments to its proposal regarding the duties of underwriters to state and local government issuers under the MSRB’s “fair dealing” rule

SEC approves interpretive notice on the duties of underwriters to state and local government issuers

Leonard, Street and Deinard
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USA
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May 8 2012

The SEC has approved an interpretive notice of the MSRB under which underwriters of municipal securities will be required to disclose to their state and local government clients risks about complex financial transactions, potential conflicts of interest, and compensation received from third-party providers of derivatives and investments

MSRB provides guidance to underwriters on obligations to state and local governments

Leonard, Street and Deinard
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USA
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July 21 2012

The Municipal Securities Rulemaking Board, or MSRB, has published implementation guidance to assist underwriters in meeting their newly expanded legal obligations to state and local governments

GAO identifies internal control issues at CFPB

Leonard, Street and Deinard
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USA
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May 22 2012

During its audit of the CFPB’s fiscal year 2011 financial statements, the GAO identified seven internal control issues that could adversely affect CFPB’s ability to meet its internal control objectives

GAO issues report on agencies’ efforts to analyze and coordinate their rules

Leonard, Street and Deinard
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USA
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December 27 2012

GAO is required to annually study financial services regulations. GAO has issued a report that examines: the regulatory analyses federal agencies