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The New York-based firm agreed to be censured, pay the penalty, and remedy alleged problems with its supervisory system.
June 15 -
The dealer group's concern is on the treatment of institutional SMMPs under the suitability standard.
June 3 -
Robert Clarke Brown has joined the Board of Directors for the remainder of the fiscal year.
May 26 -
The pair of unregistered brokers will pay over $2 million in civil penalties.
March 15 -
A consildated effort is needed for better transparency of pricing in the municipal market, especially for retail investors.
March 10 -
A judge said that the lawsuit filed on behalf of California accusing major banks of colluding to inflate VRDO interest rates did not allege the means of the conspiracy.
January 8 -
The Fixed Income Market Structure Advisory Committee will discuss the impacts of the pandemic on the muni market amid growing uncertainty.
October 2 -
A judge ruled Monday that the facts of the case supported a finding the defendants broke the law.
August 18 -
VRDO reset rates in California consistently were too high to be justified, a new filing contends.
July 20 -
Besides navigating coronavirus market disruption, investors also find themselves dealing with the increasingly important and often inconsistent climate risk disclosure.
June 19