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JPMS violated MSRB Rule G-32 as well as MSRB Rule G-27, FINRA found.
February 20 -
"This split enforcement action is unconstitutional and unlawful," their opening brief said.
February 19 -
"This matter involves unregistered municipal advisory activity by Ford Research and its president, founder, owner, and sole employee Ford," the SEC's order said.
February 17 -
The development of powerful quantum computers has serious implications for how state and local governments protect sensitive information.
February 17 -
The MSRB published the request for comment Nov. 3 to seek input on draft amendments to Rule D-15, which defines the term sophisticated municipal market professional.
February 5 -
"This would be an unnecessary change that would be difficult to administer and comply with and which would severely limit municipal entity choice," the Bond Dealers of America said in a comment letter.
February 3 -
"MSRB is committed to ensuring our regulatory framework keeps pace with an evolving market," MSRB Board Chair Natasha Holiday said.
January 30 -
"These municipal bond schemes improperly divert new issue bonds to bad actors at the expense of bona fide retail investors," FINRA's Meghan Ferguson said.
January 30 -
MSRB CEO Mark Kim described GFOA's letter suggesting changes the MSRB could make as "very constructive, very valuable."
January 28 -
"We are on the cusp of major changes in how the municipal securities market operates," Dave Sanchez, director of the Securities and Exchange Commission's Office of Municipal Securities, said last week.
January 26 -
Former WMATA CFO Yetunde Olumide has joined the MSRB as its chief financial officer.
January 22 -
"Compliance should never feel like a game of gotcha," SEC Chairman Paul Atkins said.
January 22 -
"I was disappointed that it didn't go further," said Peg Henry, who launched a municipal securities legal consulting and expert witness services business last year.
January 20 -
The RFC asks a number of questions about the dealer supervisory rule.
January 14 -
"BNY is pleased to have resolved this matter," a BNY spokesperson said.
January 13 -
"I don't think this topic is necessarily gaining traction as an enforcement matter," said Andrew Kintzinger, counsel at Hunton Andrews Kurth LLP.
January 13 -
"We are pleased to resolve this matter," Wells Fargo said in a statement.
January 12 -
"The new office will be smaller, more efficient, and right sized for our future needs," an MSRB spokesperson said.
January 5 -
Green will focus full-time on Democracy Solutions, a firm he launched in March 2024.
December 31 -
BDA's Decker hopeful that the "sensible regulation" trend will continue.
December 30
