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Should the proposal go forward, the board should provide analysis and evidence as to how such a requirement would benefit the market, dealers said.
October 4 -
Meredith Hathorn's almost forty years in public finance situate her well to steward the board through the coming fiscal year.
September 28 -
Brett, whose term ends this week, oversaw the MSRB's push for a greater integration of technology as well as overseeing some controversial rule proposals.
September 26 -
The Municipal Securities Rulemaking Board voted to amend its Rule G-40 on advertising by muni advisors and Rule A-12 on registration during its final board meeting of the year.
September 19 -
The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor
September 14 -
Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.
September 14 -
The SEC has charged Oppenheimer in a litigated action and settled with BNY Mellon, TD Securities and Jefferies for failing to comply with municipal bond disclosure requirements.
September 13 -
The MSRB's proposal to reduce trade reporting times will harm smaller dealers who don't have the resources to automate their order flow, according to comments the Board received.
September 6 -
On Tuesday, the Municipal Securities Rulemaking Board filed a proposal with the SEC to changing Rule G-3, which governs continuing education requirements.
September 1 -
FINRA and MSRB actions are drawing broker-dealer firms to lobbying groups.
August 25