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Now that the SEC has approved the MSRB's proposal to require MA principals to pass a new exam, a content outline and pilot program are on the horizon.
November 29 -
SIFMA and BDA responded to the MSRB's request for comment on muni indices and benchmarks, and transparency was a major theme.
November 28 -
Underwriters and issuers alike have complained about the nature of disclosures under current guidance to the MSRB's rule G-17.
November 16 -
Distinguishing abusive `pennying' from less insidious behavior is key, dealers told the MSRB.
November 14 -
Examiners found that Mark Stewart Saunders was improperly relying on permission from a customer's daughter.
November 13 -
The board stands by its chief economist's conclusions after criticism from the Bond Dealers of America.
November 12 -
The MSRB should tread carefully in basing future research or rulemaking on its July study of secondary market spreads, BDA said.
November 9 -
FINRA found, and the SEC upheld, muni and other rule that violations Thaddeus North failed to prevent as chief compliance officer.
October 31 -
The first meeting for several new board members included discussions with other regulators and groups, the MSRB said Monday.
October 29 -
The number of MSRB-registered dealers has fallen by almost one-third since 2009 and FINRA and the MSRB have some concerns about it.
October 26