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Groups active in the muni market are spending millions of dollars to influence policy and elect candidates, records show.
October 11 -
The MSRB, SEC, and FINRA will host an outreach event early next year as muni advisors prepare for a new principal exam among other requirements.
October 5 -
The Bond Dealers of America has formed a Fixed Income Market Structure Working Group to advise regulators, lawmakers and market participants on structural changes in the fixed income industry and marketplace.
October 3 -
The MSRB is hoping that new guidelines will encourage more conversation between its staff and the broker-dealers and muni advisors it regulates.
September 25 -
FINRA examiners alleged Mesirow violated disclosure and supervisory rules.
September 21 -
Dealer firms are trying to comply with newer rules like markup disclosure, while regulators are finding some problems and working to communicate more clearly.
September 13 -
The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.
September 7 -
After a bumpy but overall successful launch of markup disclosure, the muni industry looks ahead to regulatory scrutiny and finding ways to use the new data.
June 29 -
Deutsche Bank Securities and Central States Capital Markets agreed to settle with FINRA for a combined $80,000.
June 28 -
Ex-Morgan Stanley branch manager Terry Lee McCoy failed to act on several "red flags" that the accounts of an elderly and incapacitated customer were being abused, FINRA said.
June 19