-
The charges against Ricky Mantei stem from allegations of prearranged trading in violation of his firm's established procedures.
February 23 -
Dealer groups say changes to FINRA rules should be cohesive with municipal rules.
February 17 -
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 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 -
This will be MSRB’s first board meeting of the calendar year.
January 21 -
Dealers said the pandemic has highlighted the challenges of outdated rules and the need to modernize them.
January 12 -
The MSRB is planning to overhaul existing rules in 2021, while stakeholders will lobby the SEC for and against reviving a registration exemption for muni advisors.
December 30 -
Transamerica Financial Advisors has agreed to pay $321,167 in restitution as part of a settlement of Financial Industry Regulatory Authority charges that it failed to properly supervise its brokers selling shares of 529 plans.
December 21 -
FINRA announced the settlement this week, in which RBC agreed to a censure while neither admitting nor denying FINRA’s findings that it violated Municipal Securities Rulemaking Board Rule G-27 on supervision. RBC was not fined.
December 17