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The groups plan to address advertising, defining duties for non-solicitor muni advisors and test prepping during the program.
February 21 -
The number of trades increased by 2.9% in 2018, the highest it’s reached in the last five years, while the actual dollar amount remained stable.
February 19 -
Scott Andreson plans to work with the SEC to improve disclosure.
February 12 -
The regulator clarified that dealers need not post bid-wanteds on multiple alternative trading systems.
February 7 -
Rules governing financial advisory relationships and CUSIP numbers are under scrutiny.
February 5 -
The board received comments from dealers asking for clarification on bid-wanteds, MSRB Chair Gary Hall said.
February 4 -
Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.
January 31 -
Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.
January 29 -
Days after the government reopened temporarily, the Municipal Securities Rulemaking Board extended the effective date for new advertising requirements.
January 29 -
The MSRB plans to file for a new effective date for new advertising requirements as soon as the government reopens.
January 25