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The Municipal Securities Rulemaking Board will meet Oct. 25-26 to hold its first meeting of FY 2024.
October 18 -
Volatility in fixed income prices, which has risen recently, should not be mistaken for a systemic flaw in market structure or be used as a "strawman" to fix the plumbing and functioning of these markets.
June 6American Securities Association -
FINRA has charged Crews and Associates $50,000 and its former head trader and CEO $30,000 for selling municipal bonds with markups and for failing to maintain a supervisory system.
May 25 -
Comments for the proposal are in and many urge the Commission to drop the proposal it due to the overlap of existing MSRB and FINRA rules.
April 3 -
But the Securities and Exchange Commission's best-execution proposal, largely dismissed as duplicating an existing Financial Industry Regulatory Authority edict, could have wide-ranging implications for trading firms in options, bonds, and crypto securities as well as equities.
March 23S3 -
Thirty brokerage firms overcharged for the Santa Rosa bridge bonds after relying on data vendors who provided incorrect factors to determine the price.
March 15 -
FINRA fined Quint Capital Corporation $35,000 and its founder Alexander Quint $10,000 over their role in allowing a broker banned by the SEC and FINRA to work for the firm.
February 15 -
The Financial Industry Regulatory Authority found that BNA Wealth didn't meet the regulatory requirements when it sold shares in 529 plans.
February 7 -
The three firms were ordered to pay $515,000 in restitution, but were spared any additional financial penalty.
January 25 -
The MSRB's CEO sat down to discuss regulatory developments in 2023, the board's efforts on technology and other topics.
January 19