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Changes to the MSRB come a year after the proposal of legislation that would decrease the size of the board and increase the cooling off period for public board members.
August 6 -
Dealers are not seeing demand and are therefore not trading inventory this summer, sources say.
August 4 -
Marshall will still keep her position as chief compliance officer as she also takes on the role of interim chief regulatory officer. Lanny Schwartz left his position as chief regulatory officer almost a year ago.
July 31 -
Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.
July 29 -
Market participants say issuer coronavirus disclosures have stagnated due to tax season and issuer fears of future legal ramifications.
July 23 -
In a virtual meeting, the board will set its budget, but won't select an incoming class of board members, because of a proposed size change.
July 22 -
The responses to requests for quotes in the secondary market increased almost doubled in 2018 compared to 2015.
July 21 -
This is the latest case to involve 'flipping' — improperly allocating bonds meant for retail customers and instead selling them to other market participants — following multiple related actions made by the SEC over the years.
July 21 -
Several groups are arguing their case to keep their seats on a smaller board.
July 16 -
Coronavirus-related disclosures last week reached to just over 600 filings, but it is still a far cry from just less than a month before which saw 1,200 filings.
July 14