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The amendments add three new scenarios that warrant disclosure under MSRB Rule G-47 on time of trade disclosure.
April 10 -
A letter co-sgned by Bond Dealers of America and the Securities Industry and Financial Markets Association urges the Municipal Securities Rulemaking Board to institute its 2024 rate card, for fear that reverting back to 2023 levels would be disruptive for dealers.
January 25 -
The hire by Missouri-based Stifel comes as some broker-dealers trim ranks amid weak issuance.
October 17 -
Rai joins Wells as senior strategist after he was let go by Citi in June.
September 25 -
The Republican ESG bill calls for studies on key muni market issues, including bans on soliciting business, ESG disclosure and investment decisions by underfunded state and local pension plans.
June 26 -
The MSRB will request comment on Rule G-12 on inter dealer confirmations and seeks to codify or retire nearly 40 pieces of interpretive guidance related to it.
April 28 -
The Ohio-based was underwriter on 47 limited offerings, violating the Commission's limited offering exemption.
March 8 -
The Financial Industry Regulatory Authority found that BNA Wealth didn't meet the regulatory requirements when it sold shares in 529 plans.
February 7 -
The MSRB took no concrete actions at its meeting that ended last week, but discussed initiatives important to market participants.
January 30 -
The three firms were ordered to pay $515,000 in restitution, but were spared any additional financial penalty.
January 25