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On Wednesday, the SEC approved the final rule 3-1, with Commissioner Robert Jackson voting against the rule.
June 5
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The amended rules require dealers to disclose markups and markdowns as a total dollar amount and as a percentage of the prevailing market price to retail investors.
May 16
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Though some dealers endured a technological headache, the year-old rules have improved transparency without disrupting trading, the MSRB said.
May 14
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Kyle Javes will fill a new post at Piper Jaffray as the firm seeks to expand in specialty sectors.
May 2
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The veteran-majority owned firm has hired its first banker — Chicago-based Frank Paul.
May 1
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Bankers have until May 1 to submit their qualifications and their ideas to finance a $250 million expansion.
April 23
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The MSRB said Rule G-29 doesn't make sense anymore since the rulebook can be accessed online.
April 22
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On deck for the meeting scheduled for next week, the MSRB's Board of Directors will discuss pennying, upcoming EMMA enhancements and financial disclosure timeliness by issuers.
April 17
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A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.
March 25
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Underwriting, transaction and technology fees will be reduced during a six-month period.
March 15 -
The man behind the allegations of widespread VRDO fraud is Bjorn Johan Rosenberg.
March 8
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A large municipality with strong legal representation will draw attention, even from those skeptical of whistleblower suits alleging bank fraud in the variable-rate demand obligation market.
February 21
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The regulator clarified that dealers need not post bid-wanteds on multiple alternative trading systems.
February 7
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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 -
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
