- Washington
The Municipal Securities Rulemaking Board issued guidance yesterday that will streamline the disclosure of so-called backer information on electronic trade confirmations sent to institutional investors in municipal securities transactions.
September 15 - Washington
The Financial Industry Regulatory Authority has censured and fined White Plains, N.Y.-based Belle Haven Investments LP $32,500 for failing to timely report municipal securities transactions and for failing to enforce written supervisory procedures, FINRA said yesterday.
September 15 - Washington
The Financial Industry Regulatory Authority has censured and fined White Plains, N.Y.-based Belle Haven Investments LP $32,500 for failing to timely report municipal securities transactions and for failing to enforce written supervisory procedures, FINRA said yesterday.
September 15
