FINRA

J.W. Korth & Co. was found to have charged excessive markups in 38 sales of municipal securities.

The Securities and Exchange Commission is on the lookout for municipal advisors skirting the Series 50 Exam.

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.

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.