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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 -
The regulator has charged a former chief compliance officer $15,000 and a firm $100,000 in twp separate enforcement actions.
January 22 -
The second board meeting of FY 2024 will also see the board mull whether it should modernize its dealer supervision rule.
January 18 -
The filing cuts the current 15 minutes standard reporting window down to one minute in what the MSRB describes as an effort to improve transparency.
January 16 -
The firm settled charges with FINRA over failing to include the Non-Transaction Based Compensation indicator for 91,059 reports of municipal securities transactions over a five year period.
January 12 -
The Municipal Securities Rulemaking Board is coming under fire from broker-dealer and municipal advisor groups for what those groups see as an opaque process.
January 4 -
The Municipal Securities Rulemaking Board is gearing up for its change to a one minute reporting window, slated for the first quarter of the year.
January 2