FINRA

"We supported the approved rule change and are extremely disappointed that the MSRB is now proposing to halt the progress it had been making toward full and complete transparency in the municipal securities market," Dimensional Fund Advisors officials said in a letter.

Isaak Bond Investments has agreed to pay a $20,000 fine to settle allegations brought by the Financial Industry Regulatory Authority.

The action stems from conduct that occurred from 2020-2023, FINRA alleged.

The MSRB's decision to rescind the one-minute trade reporting deadline "comes after months of dialogue and engagement with market participants," MSRB President and CEO Mark Kim said.

"It is FINRA's position that, for multiple reasons discussed in its brief opposing Alpine's petition for writ of certiorari, the case did not meet the Supreme Court's standards for review," FINRA said.

The fine for violating MSRB rules was imposed as part of a wider FINRA disciplinary action that saw brokerage firm Calton & Associates fined a total of $75,000.

Siebert Williams Shank & Co has been censured and fined $55,000 by the Financial Industry Regulatory Authority for rule violations including reporting inaccurate trade times for roughly 12,100 municipal securities transactions.

Since the attack, many in the industry have had conversations about how to better secure transfer of funds, Vivian Altman said.

"FINRA has drifted far from its intended purpose," Rep. Lisa McClain said.

FINRA fined three individuals a total of $40,000, a settlement document shows

United First Partners was fined for reporting and supervisory rule violations as part of a wider FINRA disciplinary action involving the firm.

NewEdge Securities was also ordered to pay disgorgement of $750,746 plus interest.

Court challenges to self-regulatory organizations may have the potential to trigger a financial crisis, a law professor warns.

The MSRB said its board at a previously scheduled meeting Thursday authorized the filing of further amendments to Rule G-14 .

FINRA found that Tradeweb had violated an MSRB rule by failing to include the 'NTBC indicator' when reporting certain municipal securities transactions.

Seconds – even just one of them – count, FINRA's fining of MarketAxess shows

Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals from a joint checking account, FINRA said.

Independent Financial Group, LLC failed to ensure its employees were offering low-cost options to retail customers looking to rollover a 529 plan to another state.

Panelists at the SEC, FINRA and MSRB joint Compliance Outreach Program looked at the state of municipal advisor regulation and how the Commission could respond going forward.

Drexel Hamilton and four of its representatives were charged by the Financial Industry Regulatory Authority for violating the retail order period eligibility criteria set by municipalities.