FINRA

The broker did not disclose conflicts of interest and altered documents, FINRA found.

Dealerweb is a wholesale unit of Tradeweb Markets, a large fixed-income electronic trading platform company. FINRA found that Dealerweb failed to correctly report 147,000 trades.

Missing minimum denomination and interest rate information for VRDOs affected about 57 CUSIPs, FINRA found.

Regulators found Stifel effected 56 pairs of pre-arranged transactions and the firm did not have a supervisory system reasonably designed to catch that activity.

The pandemic presents new challenges to regulators examining municipal advisor firms.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.

BNY Mellon Capital Markets failed to submit accurate minimum denomination and maximum interest rate information 54,270 times, FINRA found.

BB&T failed to submit accurate minimum denomination and maximum interest rates to the MSRB’s Short-Term Obligation Rate Transparency (SHORT) System in 3,710 instances, FINRA found.

Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.

Morgan Stanley, Ameritas Investment Company LLC and a former Stifel broker agreed this week to pay the fines for violating multiple muni securities rules.

First Manhattan Co. bought municipal securities from an unaffiliated dealer without making a reasonable effort to obtain fair and reasonable prices, FINRA said.

The investigation had appeared likely to be tied to a fraud case involving the New York State Common Retirement Fund.

Sources say Hopper has considerable experience with municipal securities in her many years at the Financial Industry Regulatory Authority.

The board will, among other things, review comments on a proposed order that would allow municipal advisors to participate in some private placement activities.

The Financial Industry Regulatory Authority released its annual Risk Monitoring and Examinations Priorities letter Thursday.

Dealer groups want the SEC to examine broker-dealers and municipal advisors equally.

The investigation appears to be linked to the supervision of Deborah Kelley, a broker who was convicted and sanctioned for bribing a state pension fund officer.

Events at the SEC are likely to create a number of important MSRB rule changes in the coming year.

The Financial Industry Regulatory Authority found D.A. Davidson & Co. provided inaccurate pricing in issue price certificates.

The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.