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The action stems from conduct that occurred from 2020-2023, FINRA alleged.
June 17 -
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 -
Siebert Williams Shank & Co has been censured and fined $55,000 by the Financial Industry Regulatory Authority for rule violations including reporting inaccurate trade times for roughly 12,100 municipal securities transactions.
May 15 -
Levy, a member of The Bond Buyer's Rising Stars Class of 2017, assumed the role of chair in late April.
May 6 -
"FINRA has drifted far from its intended purpose," Rep. Lisa McClain said.
April 30 -
MSRB's goal is to address the public comments it received and to file a new rate card with the SEC before the end of the year, a spokesperson said.
April 29 -
MSRB appreciates "the robust stakeholder engagement and response" to its requests for feedback on both the rate card and a municipal fund securities concept release, Board Chair Bo Daniels said.
April 25 -
FINRA fined three individuals a total of $40,000, a settlement document shows
April 22