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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 -
The amendments add a new section to Rule G-12 to align with Exchange Act Rule 15c6-2.
February 8 -
The veteran-owned Academy Securities failed to file Form G-37 reports in a timely manner, and failed to disclose another 60 municipal underwritings where the firm acted in a managerial capacity.
January 30 -
The proposed amendments, which help to establish a residential supervisory location to help dealers better adapt to a post-COVID world, were approved at the MSRB's quarterly board meeting.
January 26 -
Capital Markets Advisors and its co-principals Richard Ganci and Richard Tortora are caught up in a legal back and forth with the SEC over how MSRB Rule G-42 on conflicts of interest applies to their case.
January 23