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Formal allegations of fraud by banks in the pricing of variable rate debt obligations appeared in a fourth state.
February 7
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Rules governing financial advisory relationships and CUSIP numbers are under scrutiny.
February 5
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A lawsuit alleging fraud accusing banks and broker-dealers of fraud in the variable-rate demand obligation market will proceed, an Illinois judge ruled.
February 1
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Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.
January 31
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Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.
January 29 -
In its 28-page financial report released Wednesday, the board reported that its net assets increased by over $4.3 million.
January 2
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The SEC has signaled a focus on pay-to-play and disclosure fraud.
December 27
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Ex-Morgan Stanley broker Ami Forte made national headlines after allegedly violating multiple municipal securities and other rules, the Financial Industry Regulatory Authority found.
December 26 -
SIFMA and BDA responded to the MSRB's request for comment on muni indices and benchmarks, and transparency was a major theme.
November 28
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The firm, recapitalized in April, is building out its municipal market presence.
November 26
