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The SEC’s Technology and Electronic Trading Subcommittee meets on pennying.
April 15
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A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.
March 25
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The MSRB plans to roll out changes to simplify the submission process on EMMA.
March 22
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The new amendments would increase transparency and equal access to information, the MSRB said.
March 21
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Underwriting, transaction and technology fees will be reduced during a six-month period.
March 15 -
The groups believe the MSRB cast too wide a net to non-syndicate dealers in its January draft guidance.
March 11
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Some issuers were concerned about precedents they would be setting and questions underwriters could have regarding compliance with the amended rule.
March 5
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The request for comment could be a prelude to a rule amendment dialing back one muni advisor responsibility.
February 28
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The new guidance cleared up social media advertising restrictions and interactive content.
February 26
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The groups plan to address advertising, defining duties for non-solicitor muni advisors and test prepping during the program.
February 21
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The number of trades increased by 2.9% in 2018, the highest it’s reached in the last five years, while the actual dollar amount remained stable.
February 19
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Scott Andreson plans to work with the SEC to improve disclosure.
February 12
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The regulator clarified that dealers need not post bid-wanteds on multiple alternative trading systems.
February 7 -
Rules governing financial advisory relationships and CUSIP numbers are under scrutiny.
February 5
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The board received comments from dealers asking for clarification on bid-wanteds, MSRB Chair Gary Hall said.
February 4 -
Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.
January 31 -
Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.
January 29 -
Days after the government reopened temporarily, the Municipal Securities Rulemaking Board extended the effective date for new advertising requirements.
January 29 -
The MSRB plans to file for a new effective date for new advertising requirements as soon as the government reopens.
January 25
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The Municipal Securities Rulemaking Board will begin preliminary conversations about SEC Chair Jay Clayton's disclosure comments.
January 24
