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Early returns indicate there have been some problems but firms seem to be working through them in complying with the new markup rules, regulators and industry officials said Tuesday.
May 22 -
The proposal would establish a standalone rule governing transactions in discretionary accounts, something the board hasn't had in more than 30 years.
May 16 -
FINRA found that Gates Capital and three of its employees breached several MSRB rules, some related to role-switching from advisor to underwriter on the same transaction.
May 10 -
The MSRB said its proposals should be approved, despite objections from dealers and municipal advisors.
May 1 -
Lombard Securities and McDonald Partners agreed to pay fines after FINRA examiners found various violations of MSRB rules, including supervisory failures and trade reporting deficiencies.
April 17 -
MSRB publishes a resource document after deciding not to take regulatory action on minimum denominations.
March 12 -
The Bond Dealers of America is proposing a multi-faceted "business plan" that would give dealers more time to comply with a rule requiring them to disclose their markups and markdowns to retail customers.
February 8 -
MA and broker-dealer compliance with relatively new rules, as well as the MSRB and FINRA, will be in the spotlight.
February 7 -
The sanctions involved eight transactions of Alaska bonds issued in 2015 and FINRA found the firm had inadequate supervisory procedures.
February 1 -
SIFMA is urging the MSRB to be more forthcoming in providing interpretive guidance to dealers and other regulated entities.
January 24