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This fiscal 2024 report provides a closer look at the stewardship of our reserve funds and how we plan to allocate technology resources in the year ahead to deliver value to our stakeholders.
October 2Municipal Securities Rulemaking Board -
The draft amendments seek to retire 40 pieces of interpretive guidance related to interdealer confirmations.
September 29 -
The Municipal Securities Rulemaking Board heads into its new fiscal year focused on market regulation, improving data for the muni market, and updating its EMMA technology platform.
September 29 -
The firm, without admitting or denying the findings, agreed to pay a $60,000 civil penalty.
September 26 -
During its quarterly board meeting, the MSRB approved its controversial one-minute trade reporting window and approved a $47 million budget for FY 2024.
July 28 -
Cincinnati-based Fifth Third Securities is the seventh firm charged by the Commission for failing to comply with the appropriate disclosures in connection with the limited offering exemption.
July 20 -
The proposed change to a one-minute reporting window will be discussed at the Municipal Securities Rulemaking Board upcoming quarterly meeting.
July 20 -
The rule amendments would create an exemption for previously qualified municipal advisors to forego requalification after a lapse in working for a municipal advisor.
July 18 -
The SEC has settled with Robert Benecke and his firm Benecke Economics for acting as an unregistered MA in a case that is emblematic of the growing problem regulators and advisors alike face.
July 3 -
The MSRB has received approval from the SEC for its amendments to Rules G-12 on uniform practice and G-15 on confirmation, clearance, and settlement practices.
May 31