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Ameriprise Financial Services, Cabrera Capital Markets, R. Seelaus & Co., Performance Trust Capital Partners, and Murray Sinclaire of Ross Sinclaire & Associates signed settlement agreements.
October 16 -
Wenatchee, Wash. is back to investment grade after a rough couple of years.
October 13 -
Market groups and individuals asked the SEC to reject parts of an MSRB rule intended to improve transparency of dealers' private placements.
October 12 -
The GFOA urges issuers to establish clear policies and procedures in the primary and secondary markets.
October 10 -
Muni advisors can expect more exams and need to work on compliance, SEC officials said.
October 6 -
The Securities and Exchange Commission will issue a new series of educational materials.
October 4 -
Dee P. Wisor, an attorney at Butler Snow in Denver, will be elected as next year's president.
October 3 -
New National Association of Bond Lawyers president Sandy MacLennan wants to publish more research.
October 3 -
Lucy Hooper, a member of the MSRB since 2014, will take the helm as chair effective Sunday.
September 29 -
Not everyone appreciates the MSRB's disclosure warnings.
September 27