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Morgan Stanley, Ameritas Investment Company LLC and a former Stifel broker agreed this week to pay the fines for violating multiple muni securities rules.
March 26 -
First Manhattan Co. bought municipal securities from an unaffiliated dealer without making a reasonable effort to obtain fair and reasonable prices, FINRA said.
March 25 -
The investigation had appeared likely to be tied to a fraud case involving the New York State Common Retirement Fund.
February 18 -
Sources say Hopper has considerable experience with municipal securities in her many years at the Financial Industry Regulatory Authority.
January 17 -
The board will, among other things, review comments on a proposed order that would allow municipal advisors to participate in some private placement activities.
January 15 -
The Financial Industry Regulatory Authority released its annual Risk Monitoring and Examinations Priorities letter Thursday.
January 9 -
Dealer groups want the SEC to examine broker-dealers and municipal advisors equally.
January 8 -
The investigation appears to be linked to the supervision of Deborah Kelley, a broker who was convicted and sanctioned for bribing a state pension fund officer.
December 31 -
Events at the SEC are likely to create a number of important MSRB rule changes in the coming year.
December 26 -
The Financial Industry Regulatory Authority found D.A. Davidson & Co. provided inaccurate pricing in issue price certificates.
December 6