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The proposed changes would reduce the volume of disclosures dealers have to make to customers each year.
September 14 -
The MSRB has announced an extension for municipal bond advisors seeking Series 54 certification, moving the compliance date from to Nov. 30, 2021, from Nov.12.
September 3 -
The trouble stems from a West Virginia tender offer deal Crews & Associates recommended to an issuer.
August 26 -
The board decided last month it would seek commission approval to tweak rules related to mandatory disclosures.
August 3 -
It was a busy quarterly board meeting for the MSRB.
July 23 -
Alleged supervisory failures led to unsuitable trading patterns of Puerto Rico and other bonds, FINRA found.
July 15 -
Ed Sisk, a managing director and head of public finance at Bank of America Merrill Lynch, has been MSRB chair since Oct. 1, 2019.
July 14 -
Current rules require disclosures to customers who probably do not need them, industry lobbying groups argue.
June 29 -
The New York-based firm agreed to be censured, pay the penalty, and remedy alleged problems with its supervisory system.
June 15 -
The dealer group's concern is on the treatment of institutional SMMPs under the suitability standard.
June 3