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The Financial Industry Regulatory Authority found that BNA Wealth didn't meet the regulatory requirements when it sold shares in 529 plans.
February 7
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The MSRB is proposing to allow previously qualified muni advisors, who have been out of the profession for two or more years, a one-time exemption from having to requalify by examination.
January 31
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The MSRB took no concrete actions at its meeting that ended last week, but discussed initiatives important to market participants.
January 30
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The MSRB's CEO sat down to discuss regulatory developments in 2023, the board's efforts on technology and other topics.
January 19
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The MSRB's quarterly meeting, set to take place Jan. 25-26, will also include discussion of EMMA modernization efforts and the impacts of the Financial Data Transparency Act.
January 18
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The Municipal Securities Rulemaking Board's request for comment on amendments to its primary offering disclosure rule garnered just two submissions.
January 18
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Underwriting fees generated for the board totaled some $7.4 million, an almost 50% drop from the $14.3 million the board received in 2020.
January 13
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New regulations appear to be highlighting disagreements on major muni market topics.
January 12
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The board has confirmed his departure from the regulator is imminent
January 11
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Beginning today, Jessica Giroux steps into her new role as general counsel and head of fixed income policy at the American Securities Association.
January 9
