MSRB rules

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.

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.

The regulator has charged a former chief compliance officer $15,000 and a firm $100,000 in twp separate enforcement actions.

The second board meeting of FY 2024 will also see the board mull whether it should modernize its dealer supervision rule.

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.

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.

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.

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.

The list of regulations coming into effect next year, as well the expected Supreme Court decision on how the SEC uses its enforcement powers is paving the way for a landmark year.

Bond Buyer Executive Editor Kyle Glazier discusses the coming year in D.C. with Bond Dealers of America's Brett Bolton. (15 minutes)

The Municipal Securities Rulemaking Board's request for comment on Rule G-12(c) on inter-dealer confirmations should eliminate the provision altogether as many of its applications have been rendered obsolete.

The board is asking market participants to submit input on how their rules and practices generally impact small firms.

Knoxville, Tennessee-based Home Financial Services failed to disclose execution time, mark ups and mark downs to customers on municipal securities transactions, FINRA said.

The board expects to have FY 2024 fees filed with the Securities and Exchange Commission before Dec. 1.

New York-based Odeon Capital failed to report approximately 225 municipal securities transactions to RTRS over a two and a half year period.

The Municipal Securities Rulemaking Board will meet Oct. 25-26 to hold its first meeting of FY 2024.

The Municipal Securities Rulemaking Board's FY 2024 budget represents a 4.8% increase over the prior fiscal year.

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.

The draft amendments seek to retire 40 pieces of interpretive guidance related to interdealer confirmations.

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.