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Trade reporting and supervisory failures were behind FINRA's action against the New York-based firm.
January 31
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Broker-dealers can avoid fines if they self-report 529 savings plan supervisory violations by April 1.
January 29 -
With Rule 15c2-12 amendments taking effect at the end of February, issuers expressed confusion about their impact on continuing disclosure responsibilities.
January 28
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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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FINRA found the firm should have disclosed late payments and other material information to investors in COPs linked to Brogdon projects.
January 17 -
Dealers want to change some of the language in the Municipal Securities Rulemaking Board Rule G-17 interpretive guidance.
January 16
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The Municipal Securities Rulemaking Board is postponing its Series 54 pilot examination by a month to March 2019.
January 15
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Three lawsuits claiming fraud in the variable-rate demand obligation market are headed toward key court rulings in coming weeks.
January 14
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MSRB board members and staff are slated to participate in eight events between next month and May.
January 11
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The MSRB is hoping to help the market comply with the soon-to be-effective disclosure rule amendments.
January 11
