-
The Jeffrey Matthews Financial Group has been charged $110,000 for charging unfair prices on 86 municipal bond transactions a week after being dinged for Reg BI violations.
July 29
-
During its final quarterly meeting for the FY 2024 fiscal year, the Municipal Securities Rulemaking Board elected a new chair and vice chair, and approved a $48.8 million budget for the upcoming year.
July 26
-
Philadelphia-based Janney Montgomery Scott has been fined by the Financial Industry Regulatory Authority for reporting inaccurate times of trade on 391 municipal securities transactions.
July 24 -
The Jeffrey Matthews Financial Group has been fined by FINRA for failing to achieve compliance with Regulation Best Interest.
July 22 -
The board's next quarterly meeting, scheduled for July 24-25, will include a review of market regulations, structure, and transparency issues .
July 19
-
Birmingham, Alabama-based FNBB Capital Markets has been fined by the regulator for failing to include certain mark-ups and mark-downs on dealer confirmations sent to retail customers.
July 15 -
The amendments add disclosure scenarios, slightly update the definition of materiality as well as clarify details of supplementary material.
July 12
-
The Supreme Court decision in SEC v. Jarkesy held that Congress can't force regulated entities to defend themselves in the SEC's in-house court, but likely won't change much for the Public Finance Abuse Unit.
June 28
-
New rules finalized by the Securities and Exchange Commission aim to bring dealer supervision up to the new standards of remote work but only address part of the problem
June 11
-
The board has issued a request for comment on amendments to Rule A-12 and Form A-12 on registration for associated persons for display on the MSRB site.
June 6
