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Rules governing financial advisory relationships and CUSIP numbers are under scrutiny.
February 5 -
The board received comments from dealers asking for clarification on bid-wanteds, MSRB Chair Gary Hall said.
February 4 -
A lawsuit alleging fraud accusing banks and broker-dealers of fraud in the variable-rate demand obligation market will proceed, an Illinois judge ruled.
February 1 -
Issuers say a variety of factors make it difficult to get audits in any faster.
January 31 -
Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.
January 31 -
Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.
January 29 -
With Rule 15c2-12 amendments taking effect at the end of February, issuers expressed confusion about their impact on continuing disclosure responsibilities.
January 28 -
The MSRB plans to file for a new effective date for new advertising requirements as soon as the government reopens.
January 25 -
FINRA found the firm should have disclosed late payments and other material information to investors in COPs linked to Brogdon projects.
January 17 -
Dealers want to change some of the language in the Municipal Securities Rulemaking Board Rule G-17 interpretive guidance.
January 16