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The amendments seek to align the Rules with the Securities and Exchange Commission's recent approval of T+1 clearing across bond markets.
March 29 -
But the Securities and Exchange Commission's best-execution proposal, largely dismissed as duplicating an existing Financial Industry Regulatory Authority edict, could have wide-ranging implications for trading firms in options, bonds, and crypto securities as well as equities.
March 23S3 -
The MSRB intends to file proposed amendments to Rule G-12 on uniform practice with the SEC and move forward with draft amendments to Rule G-32 on primary offering disclosures.
March 15 -
The board will be accepting comments on amendments to Rule G-47 until April 17.
February 17 -
The proposed Rule G-46 seeks to clarify certain rules specific to solicitor municipal advisors, a very specific group of professionals.
February 9 -
"I think ESG is here to stay in our market. I think it's a natural fit with the types of infrastructure that our market finances," said MSRB CEO Mark Kim.
February 9 -
The Securities and Exchange Commission's examination priorities for the year include big ticket items like Regulation Best Interest.
February 8 -
The Financial Industry Regulatory Authority found that BNA Wealth didn't meet the regulatory requirements when it sold shares in 529 plans.
February 7 -
The MSRB is proposing to allow previously qualified muni advisors, who have been out of the profession for two or more years, a one-time exemption from having to requalify by examination.
January 31 -
The MSRB took no concrete actions at its meeting that ended last week, but discussed initiatives important to market participants.
January 30