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The SEC has won a partial victory against Choice Advisors and its principal Matthias O'Meara for their role in acting as unregistered brokers and for engaging in a fee-splitting arrangement.
April 23 -
The board approved that step at its second quarter board meeting held this week.
April 19 -
The amendments add three new scenarios that warrant disclosure under MSRB Rule G-47 on time of trade disclosure.
April 10 -
Representatives from the Securities and Exchange Commission gathered Tuesday to discuss some of their examination priorities and some of the trends they're seeing outside of exams.
April 3 -
According to FINRA, the mispricing resulted in customer harm amounting to $44,927.83, on top of the $90,000 fine.
March 8 -
New MSRB Rule G-46 on the duties of solicitor municipal advisors goes into effect on March 1
March 1 -
The Municipal Securities Rulemaking Board's request for information on small firms has commenters divided over what rules should apply to small firms and how the board should go about instituting them.
February 27 -
Comments submitted to the SEC on the MSRB's amendments to Rule G-14 note how important exceptions for manual trades and limited trading activity are in the move to a one-minute reporting standard.
February 16 -
The MSRB requested information about the challenges facing small firms the firms have not held back in citing what they view as a difficult regulatory environment.
February 13 -
Speaking at the 2024 National Outlook Conference, MSRB chief executive officer noted the number of calls the MSRB has received since the suspension was announced.
February 8