Four Firms to Pay $105K in FINRA Fines
March 19, 2013 Four firms agreed to pay $105,000 in fines for violations of pricing, political contribution, supervisory and other rules of...

Small Dealers Oppose Faster Trade Reporting Requirements
March 18, 2013 Smaller banks and securities firms are urging the Municipal Securities Rulemaking Board not to shorten its current 15-minute...

Moody's Calls Illinois' Settlement with SEC 'Credit Positive'
March 15, 2013 The recent settlement by Illinois with the Securities and Exchange Commission on charges of shoddy pension disclosure will...

Judge Delays Sentencing for Rubin, CDR
March 14, 2013 Sentencing of David Rubin and his firm, CDR Financial Products Inc., for charges related to bid-rigging of municipal...

Dealer Groups Challenge Time-of-Trade Disclosure Proposal
March 13, 2013 The Municipal Securities Rulemaking Board's proposed rule on dealers' time-of-trade disclosure obligations is overly broad,...

SEC Nominee Mary Jo White Addresses Concerns, MMF Rules
March 12, 2013 Mary Jo White, President Obama's nominee for chairman of the Securities and Exchange Commission, told lawmakers Tuesday that...

MSRB Overhauls Suitability Rule
March 11, 2013 The Municipal Securities Rulemaking Board proposed rule changes requiring dealers to analyze more information when determining...

Sentencing Delayed for Two CDR Bid Riggers
March 7, 2013 A federal judge has postponed sentencing of two former CDR Financial Products Inc., staffers until after the bid-rigging trial...

SEC To Propose Technology Standards for SROs, Others
March 7, 2013 The Securities and Exchange Commission agreed Thursday to propose a rule that would require self-regulatory agencies, possibly...

MSRB's Kelly: G-17 Guidance Causing Problems
March 7, 2013 The Municipal Securities Rulemaking Board's interpretive guidance to fair-dealing rules that took effect last year was...