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The defendants are raising questions about due process and the definition of fee-splitting arrangements.
December 14 -
The Municipal Securities Rulemaking Board will begin accepting applications for two public and two regulated representatives to join its 15-member board.
November 17 -
Former JP Morgan broker allegedly provided incorrect and misleading account reports to a customer.
November 11 -
Underwriter Cantone Research’s alleged fraudulent misrepresentations are tied to two defaulted bond offerings.
October 28 -
Modernizing rules and leveraging technology are focal points for the organization.
October 21 -
The presence of unregistered — and potentially unqualified — advisors providing municipal advisory services to state and local governments and other municipal entities is a cause for concern and greater regulatory scrutiny.
October 12Municipal Securities Rulemaking Board. -
Erring on the side of caution and good documentation are key to managing conflicts of interest
October 7 -
FINRA said the firm failed to detect and resolve short positions in municipal securities
October 5 -
A firm and its two principals have been charged for an improper fee-splitting arrangement under the relatively new regulatory regime for municipal advisors.
September 23 -
The Municipal Securities Rulemaking Board has published its strategic goals for the next four years, which includes the launch of EMMALabs, moving all of its data systems to the cloud and updating its rulemaking guidance.
September 20