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The changes will slim down underwriters' disclosures to issuers, which many believed had become too lengthy and wordy to be useful.
November 11 -
The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.
November 6 -
Dealer groups believe that some sections of the proposed amended guidance such as complex financing and disclosure standards would add complexity to the rule.
October 30 -
After getting national attention for allegedly swindling millions from a disabled billionaire client, brokers Ami Forte and Charles Lawrence have been barred from the industry.
October 21 -
The dealer entered into two municipal bond orders into a recently deceased customer's account.
October 17 -
The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.
October 9 -
The Securities and Exchange Commission is seeking comment on exemptive relief for municipal advisors in some activities in private placement deals, eliciting fierce resistance from broker-dealer groups.
October 3 -
The Financial Industry Regulatory Authority previously sanctioned UBS in 2015 for similar violations.
October 2 -
Illinois Gov. J.B. Pritzker’s first-year administration is not yet ready to tinker with the state’s underwriting pool for negotiated municipal bond sales.
September 26 -
At the SEC's invitation, Bond Dealers of America submitted a proposed framework for an exemptive order aimed at muni advisors on private placement deals.
September 26