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Robert Clarke Brown has joined the Board of Directors for the remainder of the fiscal year.
May 26 -
The proposed changes are part of the MSRB's ongoing retrospective rule review.
May 17 -
The broker exercised discretion in seven customer accounts despite Morgan Stanley no longer allowing discretionary trading.
April 28 -
The MSRB will retire 15 pieces of guidance, though those will still be available online for historical purposes.
April 26 -
The board had planned to abolish the requirement that MAs advising on competitive deals apply for CUSIP numbers, but has now decided to keep the rule as is.
April 23 -
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 -
The Municipal Securities Rulemaking Board is requesting comment on requiring more written disclosure from solicitor municipal advisors, which make up just 19% of all MA firms.
March 18 -
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