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The $16,250 was part of a $150,000 total fine Wedbush agreed to pay to settle FINRA allegations.
November 10 -
The MSRB plans to issue the request for comment regarding MSRB Rule D-15 "within the next week or so."
October 29 -
"BDA supports the proposal and we encourage the commission to approve it," its letter said.
October 27 -
"Over the next fiscal year, I look forward to collaborating with MSRB Board members from across our industry, and the nation," Board Chair Natasha Holiday said.
October 24 -
"I would say don't be afraid to pick up the phone and talk to investors directly," Nuveen's Molly Shellhorn said.
October 23 -
"Bond by bond, project by project the muni market has helped to build the spaces and places where American life unfolds," SEC Chairman Paul Atkins said in a speech delivered at the MSRB's 50th Anniversary Celebration Tuesday evening.
October 22 -
The attackers did not steal any data, but the firm had to rebuild its servers to get back into operation, said Albert Rodriguez, a manager at ImageMaster.
October 16 -
Interactive Brokers said it "promptly addressed the issue that gave rise to the settlement."
October 3 -
The board also said it plans to return more than $23 million in surplus operating reserves to the municipal bond industry.
October 2 -
"I think, overwhelmingly, all of our market participants are wanting the same thing and that's really a thriving municipal market," Holiday said.
September 30 -
Serving on MSRB's Board of Directors over the past four years has been a privilege and an honor.
September 26
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"We're always happy to have these conversations," Sanchez said during a virtual conference co-hosted by XBRL US and the University of Denver.
July 31 -
Vivian Altman, Nancy Feldman, Daniel Hartman and JoLinda L. Herring slated to serve four-year terms starting Oct. 1.
July 30 -
While the cost of small trades is higher than institutional trades across all fixed-income markets, the gap is more pronounced in the municipal bond market.
July 22 -
The meeting will be held on July 23 and 24.
July 18 -
SROs "are now being guided by individuals who lack a deep real-world understanding of the markets they oversee," the trade association said in a letter to the House Financial Services Committee.
July 16 -
Some market participants said they were sad to see EMMA Labs go.
June 24 -
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.
June 9 -
The muni market's self-regulatory organization has undergone major changes in its five decades, and challenges are ahead.
June 4 -
"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.
June 2












