Sarah Wynn

After getting national attention for allegedly swindling millions from a disabled billionaire client, brokers Ami Forte and Charles Lawrence have been barred from the industry.

Issuers will be looking to see what Securities and Exchange Commission Chair Jay Clayton says about disclosure.

The Securities and Exchange Commission issued a non-public letter to the city of Atlanta last week, prompting a possible investigation into its airport.

The dealer entered into two municipal bond orders into a recently deceased customer's account.

The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.

Years after the Securities and Exchange Commission enacted a rule to require floating net asset values, finance officers are fighting the legislative malaise to try to undo it.

The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.

MSRB Chief Education Officer Ritta McLaughlin will be the fifth senior official to leave the MSRB in the last couple of months.

Though many participants were pleased with changes the Municipal Securities Rulemaking Board has proposed for its fair dealing guidance, some worried about new compliance expectations.

The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.