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A case settled this week was the first brought in decades by FINRA for a rule violation on quotations.
April 15 -
The agenda includes discussion of possible changes to MSRB Rule G-10, on investor and municipal advisory client education and protection.
April 14 -
In two municipal bond transactions, Aegis Capital Corp. sold to its customers at prices that were 40% higher than the market rate.
March 12 -
Among over 1,200 dealers registered with the MSRB, 21 firms are bank dealers who would be impacted by the change.
March 5 -
The charges against Ricky Mantei stem from allegations of prearranged trading in violation of his firm's established procedures.
February 23 -
Much of the material being retired dates back more than 35 years.
February 12 -
Dealers say increased focus on systemic pennying has decreased its activity, while others aren't so sure.
February 3 -
The dealer group is concerned the SEC may provide another exemption for municipal advisors to work on private placement deals.
February 2 -
The reduction would be the largest the MSRB has done, substantially more than a previous one which caused a loss of $5.2 million.
January 29 -
Since a temporary exemption allowing muni advisors to facilitate certain private placement deals expired, a federal court cannot strike it down, the SEC argued.
January 26