-
This is the first time in four years the self-regulatory agency is asking for input on its strategic goals.
December 7 -
The broker did not disclose conflicts of interest and altered documents, FINRA found.
November 24 -
Municipal Securities Rulemaking Board CEO Mark Kim talks about his priorities after recently being named CEO in October, changes to its reduced board size and transparency of the board. Sarah Wynn hosts. (34 minutes)
November 24 -
The Municipal Securities Rulemaking Board consolidated a few positions, eliminating its chief compliance officer role and promoting its CFO.
November 23 -
Dealerweb is a wholesale unit of Tradeweb Markets, a large fixed-income electronic trading platform company. FINRA found that Dealerweb failed to correctly report 147,000 trades.
November 20 -
The MSRB is looking specifically for issuers and non-dealer municipal advisors.
November 12 -
The board, at the first quarterly board meeting of its 2021 fiscal year, also voted to split its existing Nominating and Governance Committee into two.
October 23 -
The Municipal Securities Rulemaking Board's new CEO plans to improve the quality of data on its site.
October 20 -
The board will discuss a long-term strategic plan for the MSRB and the regulatory framework of electronic trading platforms.
October 14 -
Missing minimum denomination and interest rate information for VRDOs affected about 57 CUSIPs, FINRA found.
October 9