Enforcement

Working in the public interest was "very satisfying," the longtime SEC lawyer said.

FINRA fined three individuals a total of $40,000, a settlement document shows

NewEdge Securities was also ordered to pay disgorgement of $750,746 plus interest.

FINRA found that Tradeweb had violated an MSRB rule by failing to include the 'NTBC indicator' when reporting certain municipal securities transactions.

The American Securities Association in a brief filed in the U.S. Court of Appeals for the Eleventh Circuit said an SEC order should be set aside because the MSRB is unconstitutionally structured.

One California city has found that corralling a joint powers authority isn't easy.

Seconds – even just one of them – count, FINRA's fining of MarketAxess shows

Rudy MeJia Jr. has been fined and given an eight-month suspension from associating with any FINRA member firm for failing to disclose that he opened a private investment pool and was receiving commission for sales on behalf of it.

The Office of Tax-Exempt Bonds has been staffing up, IRS officials said at the National Association of Bond Lawyers conference in Chicago.

The firm violated MSRB Rules G-15 on confirmation, G-8 on books and records and G-27 on supervision, FINRA found.