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Incoming NABL president Dee Wisor wants the group to be more active in Washington.
September 25 -
The MSRB is hoping that new guidelines will encourage more conversation between its staff and the broker-dealers and muni advisors it regulates.
September 25 -
FINRA examiners alleged Mesirow violated disclosure and supervisory rules.
September 21 -
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 disclosure of some variable-rate demand obligation information on EMMA shouldn't be used to dismiss a lawsuit alleging fraud in VRDO remarketing,lawyers for the plaintiff told an Illinois court.
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 -
Roisman is officially back at the SEC, but this time as a commissioner.
September 11