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Riedl First Securities Company of Kansas has been fined $15,000 by FINRA for charging unfair prices, violating MSRB Rule G-30 on fair pricing and MSRB Rule G-27 on supervision.
July 31
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The Jeffrey Matthews Financial Group has been charged $110,000 for charging unfair prices on 86 municipal bond transactions a week after being dinged for Reg BI violations.
July 29 -
During its final quarterly meeting for the FY 2024 fiscal year, the Municipal Securities Rulemaking Board elected a new chair and vice chair, and approved a $48.8 million budget for the upcoming year.
July 26
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The board's next quarterly meeting, scheduled for July 24-25, will include a review of market regulations, structure, and transparency issues .
July 19
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Birmingham, Alabama-based FNBB Capital Markets has been fined by the regulator for failing to include certain mark-ups and mark-downs on dealer confirmations sent to retail customers.
July 15 -
The amendments add disclosure scenarios, slightly update the definition of materiality as well as clarify details of supplementary material.
July 12
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The SEC, MSRB and FINRA will gather in Denver Nov. 20-21 to discuss compliance for MAs and broker-dealers, examination priorities, and more.
July 1
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According to the board, the addition is an important means to enhance market transparency and is in line with its FY24 priority to expand the EMMA platform.
June 17
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New rules finalized by the Securities and Exchange Commission aim to bring dealer supervision up to the new standards of remote work but only address part of the problem
June 11
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The board has issued a request for comment on amendments to Rule A-12 and Form A-12 on registration for associated persons for display on the MSRB site.
June 6
