FINRA

Ex-Morgan Stanley broker Ami Forte made national headlines after allegedly violating multiple municipal securities and other rules, the Financial Industry Regulatory Authority found.

The SEC announced the settlement with former UBS broker Chris Rosenthal, the biggest yet from its ongoing flipping investigation.

A new year will mean new advertising rules and testing requirements for municipal advisors.

Examiners found that Mark Stewart Saunders was improperly relying on permission from a customer's daughter.

FINRA found, and the SEC upheld, muni and other rule that violations Thaddeus North failed to prevent as chief compliance officer.

The first meeting for several new board members included discussions with other regulators and groups, the MSRB said Monday.

The number of MSRB-registered dealers has fallen by almost one-third since 2009 and FINRA and the MSRB have some concerns about it.

Groups active in the muni market are spending millions of dollars to influence policy and elect candidates, records show.

The MSRB, SEC, and FINRA will host an outreach event early next year as muni advisors prepare for a new principal exam among other requirements.

The Bond Dealers of America has formed a Fixed Income Market Structure Working Group to advise regulators, lawmakers and market participants on structural changes in the fixed income industry and marketplace.