FINRA

Best execution, suitability, and other areas of concern for the municipal as well as corporate markets are among FINRA regulatory and exam priorities for 2018.

The Board said "filtering" bids and offers can hurt retail investors, liquidity, and market efficiency.

The SEC's muni enforcement focus in 2018 will include offering and disclosure-related fraud, broker-dealer abuses, municipal advisor misconduct, public corruption, and pay-to-play practices.

FINRA said Philip Fluegge violated its rules when he sold shares in municipal fund securities.

Mehran Tazhibi agreed to pay a $10,000 fine and be suspended for two months.

Muni market participants may not be ready in time to implement a pending markup disclosure rule on which regulators place huge importance.

Ameriprise Financial Services, Cabrera Capital Markets, R. Seelaus & Co., Performance Trust Capital Partners, and Murray Sinclaire of Ross Sinclaire & Associates signed settlement agreements.

FINRA dings firms for failing to report muni trades, trading below minimum denominations.

A compliance outreach program for municipal advisors is to be held on Nov. 8 by three regulators.

NFS failed to follow underwriter instructions; Corecap failed to report transactions.

Muni market participants will have more time to prepare for customer account transfer changes.

UBS' fine follows prior SEC action against the firm for minimum denomination violations.

Four firms paid a combined $102,500 to settle FINRA charges related to violations of MSRB gift and reporting rules.

Fidelity Brokerage Services and Frazier Lanier are to pay $80K to settle FINRA muni charges.

RBC Capital markets, along with Wedbush Securities and an individual reached settlements totaling $70,000 with FINRA.

J.W. Korth is appealing a FINRA panel finding that it charged customers excessive markups.

FINRA expanded its sanctions guidelines and suggested several penalties be more severe.

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.