FINRA

Sources say Hopper has considerable experience with municipal securities in her many years at the Financial Industry Regulatory Authority.

The board will, among other things, review comments on a proposed order that would allow municipal advisors to participate in some private placement activities.

The Financial Industry Regulatory Authority released its annual Risk Monitoring and Examinations Priorities letter Thursday.

Dealer groups want the SEC to examine broker-dealers and municipal advisors equally.

The investigation appears to be linked to the supervision of Deborah Kelley, a broker who was convicted and sanctioned for bribing a state pension fund officer.

Events at the SEC are likely to create a number of important MSRB rule changes in the coming year.

The Financial Industry Regulatory Authority found D.A. Davidson & Co. provided inaccurate pricing in issue price certificates.

The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.

The Municipal Securities Rulemaking Board plans a review after pressure from Sens. John Kennedy and Elizabeth Warren to change the makeup of its membership.

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.