-
The SEC, MSRB and FINRA will gather in Denver Nov. 20-21 to discuss compliance for MAs and broker-dealers, examination priorities, and more.
July 1 -
According to the board, the addition is an important means to enhance market transparency and is in line with its FY24 priority to expand the EMMA platform.
June 17 -
New rules finalized by the Securities and Exchange Commission aim to bring dealer supervision up to the new standards of remote work but only address part of the problem
June 11 -
The board has issued a request for comment on amendments to Rule A-12 and Form A-12 on registration for associated persons for display on the MSRB site.
June 6 -
In its first report since 2017 on municipal issuer disclosure, the Municipal Securities Rulemaking Board found that the average audit time has risen slightly since 2018 to 209 days, its highest on record.
May 30 -
The board has knocked out nine pieces of interpretive guidance from its inter-dealer confirmation Rule G-12(c) following comments from SIFMA.
May 23 -
The latest round of criticism sounds the alarm bells for closer examination and further exemptions for certain trades and certain broker dealers.
May 20 -
The MSRB's move to a one-minute reporting standard was questioned in a House hearing Tuesday in the context of regulation that could go too far.
May 7 -
Proposed rulemaking on the FDTA is expected in June, but clarity on what exactly it means for the muni market is years down the line.
May 2 -
The MSRB is warning investors that the redemption of Build America Bonds under an extraordinary redemption provision could result in losses, especially for those purchased at a premium.
April 26