-
Ex-Morgan Stanley broker Ami Forte made national headlines after allegedly violating multiple municipal securities and other rules, the Financial Industry Regulatory Authority found.
December 26 -
Muni regulators are expected to slow the pace of new rulemaking and focus on enforcement in 2019, with an emphasis on continuing disclosure.
December 26 -
The SEC announced the settlement with former UBS broker Chris Rosenthal, the biggest yet from its ongoing flipping investigation.
December 21 -
The anticipated Series 54 Test outline was released Thursday afternoon and municipal advisors can now start prepping.
December 20 -
A new year will mean new advertising rules and testing requirements for municipal advisors.
December 19 -
The Municipal Securities Rulemaking Board is establishing a formal Academic Program as part of its mission to support academic and other researchers.
December 17 -
Analyst Marc Joffe says bulk downloading should be free on EMMA.
December 14 -
The MSRB got a green light for tighter reporting rules for dealers as the regulator starts to monitor the municipal fund securities market.
December 13 -
Sen. John Kennedy blasted the Municipal Securities Rulemaking Board during a Senate Banking, Housing and Urban Affairs Committee meeting.
December 12 -
Members of the Securities and Exchange Commission on Thursday addressed confusion among issuers, broker-dealers and investors regarding disclosure.
December 7