MSRB

FINRA examiners alleged Mesirow violated disclosure and supervisory rules.

A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.

A pilot program for the new Series 54 exam should be available early next year, the MSRB announced.

Where the SEC's Rick Fleming sees potential benefits, broker-dealers see burdensome, duplicative work.

The Municipal Securities Rulemaking Board on Monday released final and draft guidance on issues related to its G-40 advertising rules for municipal advisors.

The disclosure of some variable-rate demand obligation information on EMMA shouldn't be used to dismiss a lawsuit alleging fraud in VRDO remarketing,lawyers for the plaintiff told an Illinois court.

Municipal advisors have a duty of care to their clients that is much more comprehensive, and more demanding.

Dealer firms are trying to comply with newer rules like markup disclosure, while regulators are finding some problems and working to communicate more clearly.

A total of three advisory groups will be providing input to the board in the new fiscal year.

Widespread use of the bid-wanted process as a price discovery tool could hurt market integrity, the MSRB believes.

The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.

The Securities and Exchange Commission has sent letters to the 12 top banks and broker-dealers that remarket variable rate demand obligations, seeking information and documents on their remarketing and rate resetting practices.

The MSRB is concerned about the fairness of so-called "pre-arranged trading," but some say it's a bit of a grey area.

The SEC is sorting out those charged with engaging in a large multi-year "flipping" and kickback scheme.

SEC Chairman Jay Clayton cited Rebecca Olsen's "deep knowledge of the U.S. municipal bond market" and focus on "integrity and transparency" in naming her director.

The MSRB is making a push to understand muni market indicators.

The now-defunct unregistered broker-dealer Core Performance Management, LLC, and four of its former employees settled fraud and MSRB rule violations with the SEC for engaging in municipal bond flipping and kickback scheme.

As the dust settles on the SEC's 15c2-12 announcement, questions loom about how difficult it will be to implement.

The final rules will focus on debt obligations on a similar level as bonds, an effort to respond to comments that the first proposal was too broad.

The MSRB's new FAQs examine an issue on which municipal advisor firms have been seeking guidance for months.