FINRA

The amended rules require dealers to disclose markups and markdowns as a total dollar amount and as a percentage of the prevailing market price to retail investors.

Mid-size issuers may be experiencing the greatest impact, with one municipality even reporting that an underwriter withdrew a bid over a disclosure requirement.

A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.

While associated with J.P. Morgan, a broker allegedly cheated on her Series 52 exam, violating FINRA Rule 2010.

Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.

Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.

The program was expected to be heavily-attended and would address advertising rules and test prep for the Series 54 Exam.

FINRA found the firm should have disclosed late payments and other material information to investors in COPs linked to Brogdon projects.

MSRB board members and staff are slated to participate in eight events between next month and May.

The SEC has signaled a focus on pay-to-play and disclosure fraud.