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Without admitting or denying the findings, Blaylock Van consented to FINRA's findings that it failed to establish and maintain written supervisory procedures.
January 5 -
The Municipal Securities Rulemaking Board seeks four board members, particularly searching for an investor.
January 4 -
Regulators have ambitious plans for 2023, which include best execution and time of trade proposals.
December 27 -
The change would give broker dealers, municipal securities dealers and municipal advisors until Jan. 31 to annually affirm the information on Form A-12, among other changes.
December 14 -
While the MSRB's compliance resources are not a rule and it has not been filed with the SEC, one can infer that following the same will be beneficial should the SEC inquire.
December 8SOLVE -
The proposed amendment to Rule G-3 is designed to promote diversity and inclusion in the muni market.
December 1 -
The Municipal Securities Rulemaking Board has filed to extend G-27 relief to give dealers an extra six-month window for remote inspections
November 17 -
FINRA accused the firm of negligently misrepresenting monthly account statements.
November 7 -
The MSRB will seek comment on Rule G-3 on professional qualifications that would add an exemption for muni advisors having to requalify in instances where their qualification had lapsed.
October 28 -
The Municipal Securities Rulemaking Board's meeting will discuss the scope of its Form A-12 modernization efforts, authorizing a request for comment on a certain MA exemption and extending COVID relief under MSRB Rule G-27, among others.
October 20