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A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.
September 20 -
A pilot program for the new Series 54 exam should be available early next year, the MSRB announced.
September 19 -
The MSRB's guidance on social media use by muni advisors under its new advertising rule could use some work, market participants said.
September 19 -
Where the SEC's Rick Fleming sees potential benefits, broker-dealers see burdensome, duplicative work.
September 18 -
The Municipal Securities Rulemaking Board on Monday released final and draft guidance on issues related to its G-40 advertising rules for municipal advisors.
September 17 -
Dealer firms are trying to comply with newer rules like markup disclosure, while regulators are finding some problems and working to communicate more clearly.
September 13 -
A total of three advisory groups will be providing input to the board in the new fiscal year.
September 11 -
Widespread use of the bid-wanted process as a price discovery tool could hurt market integrity, the MSRB believes.
September 7 -
The MSRB is concerned about the fairness of so-called "pre-arranged trading," but some say it's a bit of a grey area.
September 6 -
The SEC is sorting out those charged with engaging in a large multi-year "flipping" and kickback scheme.
September 4