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The broker did not disclose conflicts of interest and altered documents, FINRA found.November 24
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Municipal Securities Rulemaking Board CEO Mark Kim talks about his priorities after recently being named CEO in October, changes to its reduced board size and transparency of the board. Sarah Wynn hosts. (34 minutes)November 24
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The Municipal Securities Rulemaking Board consolidated a few positions, eliminating its chief compliance officer role and promoting its CFO.November 23
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Dealerweb is a wholesale unit of Tradeweb Markets, a large fixed-income electronic trading platform company. FINRA found that Dealerweb failed to correctly report 147,000 trades.November 20
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During his leadership, Clayton oversaw amendments to Rule 15c-12 and pushed for more transparency in the municipal market.November 16
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The MSRB is looking specifically for issuers and non-dealer municipal advisors.November 12
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Public finance made up just 3% of total standalone enforcement cases.November 3
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Harvey has failed to fully implement an independent consultant's recommendations in violation of a 2014 settlement that resolved securities charges, the SEC says.October 29
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The SEC's Rebecca Olsen said in 2021, the regulator plans to explore ways to get more comment on financial disclosure recommendations.October 29
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The board, at the first quarterly board meeting of its 2021 fiscal year, also voted to split its existing Nominating and Governance Committee into two.October 23
