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Municipal advisors were hoping for something more robust than the comments the MSRB incorporated into its latest "compliance resource."
June 21 -
The federal government's job board stops taking applications next week.
June 20 -
Ex-Morgan Stanley branch manager Terry Lee McCoy failed to act on several "red flags" that the accounts of an elderly and incapacitated customer were being abused, FINRA said.
June 19 -
The muni industry's self regulator said issuers have found underwriters' disclosure letters to be too long, filled with boilerplate, and duplicative.
June 5 -
Early returns indicate there have been some problems but firms seem to be working through them in complying with the new markup rules, regulators and industry officials said Tuesday.
May 22 -
The proposal would establish a standalone rule governing transactions in discretionary accounts, something the board hasn't had in more than 30 years.
May 16 -
FINRA found that Gates Capital and three of its employees breached several MSRB rules, some related to role-switching from advisor to underwriter on the same transaction.
May 10 -
A muni advisor and his firm defrauded a school district in south Texas, lying to it to gain business and failing to disclose a conflict of interest.
May 9 -
The MSRB said its newly-approved rules are an important part of its regulatory efforts, while groups representing dealers and MAs are say they are confusing and need clarification.
May 8 -
Issuers and the MSRB are mostly on the same page about primary offering practices that may warrant scrutiny, but some members of the GFOA's debt committee are concerned about "regulatory creep."
May 6