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UBS' fine follows prior SEC action against the firm for minimum denomination violations.
By Jack CaseyJuly 17 -
MSRB urges MAs to weigh whether they have duties to both issuers and borrowers in conduit deals.
By Jack CaseyJuly 14 -
One CEO raised some concerns about electronic trading that he said regulators should consider.
By Jack CaseyJuly 14 -
The plaintiffs had alleged G-37 amendments would restrict the political contributions of municipal advisors.
By Jack CaseyJuly 13 -
Former Ramapo, N.Y. town supervisor Christopher St. Lawrence is arguing he should either be acquitted or retried because of errors by the judge made before and during the trial as well as prejudice from jurors who found him guilty of 20 counts of conspiracy and fraud in connection with municipal bonds issued by the town and an authority.
By Jack CaseyJuly 13 -
The MSRB said it may add to its guidance in the future and will hold a seminar with dealers.
By Jack CaseyJuly 12 -
SEC chair Jay Clayton wants to ensure the fixed income market is efficient and transparent.
By Jack CaseyJuly 12 -
Michael Post will take on the role of chief legal officer after Bob Fippinger leaves this month.
By Jack CaseyJuly 10 -
Jessica Giroux will replace Bill Daly as NABL's director of government affairs next year.
By Jack CaseyJuly 7 -
SIFMA wants the MSRB to harmonize its rule on account transfers with FINRA's regulation.
By Jack CaseyJuly 6