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Ninety percent of FINRA's operating expenses are driven by compensation and technology costs.
August 7 -
The $28,800 fine pertaining to violations of Municipal Securities Rulemaking Board rules was part of a $75,000 total fine imposed by FINRA.
August 7 -
The spaceport PAB statute was crafted in a way that's likely to appeal to the tax-exempt bond market. Nixon Peabody's Johnny Hutchinson said.
August 6 -
"We're always happy to have these conversations," Sanchez said during a virtual conference co-hosted by XBRL US and the University of Denver.
July 31 -
Vivian Altman, Nancy Feldman, Daniel Hartman and JoLinda L. Herring slated to serve four-year terms starting Oct. 1.
July 30 -
The meeting will be held on July 23 and 24.
July 18 -
Randall "Randy" Miller, Chad Miller and Jeffrey De Laveaga were charged by the SEC with creating false documents that were provided to investors in two municipal bond offerings.
July 18 -
SROs "are now being guided by individuals who lack a deep real-world understanding of the markets they oversee," the trade association said in a letter to the House Financial Services Committee.
July 16 -
"We supported the approved rule change and are extremely disappointed that the MSRB is now proposing to halt the progress it had been making toward full and complete transparency in the municipal securities market," Dimensional Fund Advisors officials said in a letter.
July 14 -
Some local governments have begun formal assessments about whether electric services to their communities should be municipalized or whether their existing franchise agreements can be updated in their favor.
July 11









