Can fixed income markets be regulated?
The SEC has announced that it will hold a Fixed Income Roundtable on April 16 in Washington to discuss improving the transparency and efficiency of fixed income markets. This news is welcome and long...
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SEC must look beyond US borders to reform the fixed income markets
The SEC is holding a Fixed Income Roundtable on April 16 to examine ways to improve the transparency and efficiency of the fixed income markets. This is the first time that I am aware of that the SEC...
View ArticleA huddle over market transparency
The SEC held a fixed income roundtable on Tuesday to discuss two important issues: market structure and ways to improve it for municipal and corporate bonds. The SEC has as much authority to regulate...
View ArticleHarrisburg joins Jefferson County with muniland securities fraud charge
The near-bankrupt city of Harrisburg, Pennsylvania was charged this week by the Securities and Exchange Commission with securities fraud. Here is the official language (emphasis mine): The Securities...
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Should asset backed securities be outlawed?
On Tuesday the SEC is holding a roundtable on credit ratings to address the ongoing question of ratings shopping. Rating shopping is when a bond issuer shops its deal to various credit rating agencies...
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Memo to Congress: Increase funding for the SEC
The newly confirmed chairman of the Securities and Exchange Commission, Mary Jo White, testified to the House Financial Services Committee on May 16 and requested an increase in funding for her agency....
View ArticleWhy SEC adviser rules are desperately needed
Stockton, California is in the early stages of their bankruptcy and a local grand jury polled current city council members about their understanding of public finance. Does the latest round of public...
View ArticleThe SEC’s role in building better markets
The SEC has just launched a new part of its website dedicated to analyzing the structure of equity markets. Here is how the SEC describes it: The Securities and Exchange Commission created this website...
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The SEC’s new municipal adviser rule is not confusing
Governing.com ran a story titled “Why’s the SEC’s New Municipal Advisor Rule So Confusing?” Actually the new rule, although not yet finalized, is not confusing. There are resources for muniland...
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A revolution in muniland
By Cate Long In a speech last week at the Economic Club of New York, SEC Chairman Mary Jo White set out three new initiatives that will reorder the way fixed income markets serve retail investors....
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