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FINRA settled with two parties after they violated MSRB Rule G-17 by whiting out dates and failing to disclose a $2 million fee up until an issuance.
August 2 -
J.W. Korth & Co. was found to have charged excessive markups in 38 sales of municipal securities.
May 23 -
The Securities and Exchange Commission is on the lookout for municipal advisors skirting the Series 50 Exam.
May 17 -
The amended rules require dealers to disclose markups and markdowns as a total dollar amount and as a percentage of the prevailing market price to retail investors.
May 16 -
Mid-size issuers may be experiencing the greatest impact, with one municipality even reporting that an underwriter withdrew a bid over a disclosure requirement.
March 26 -
A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.
March 25 -
While associated with J.P. Morgan, a broker allegedly cheated on her Series 52 exam, violating FINRA Rule 2010.
March 19 -
Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.
January 31 -
Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.
January 29 -
The program was expected to be heavily-attended and would address advertising rules and test prep for the Series 54 Exam.
January 18