Learn more about the Electronic Municipal Market Access (EMMA) Website
Millions of investors participate in municipal bond ownership. It pays [...]
8
06, 2017
5
06, 2017
SEC Issues Ransomware Risk Alert Highlighting Cybersecurity Best Practices
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently [...]
2
06, 2017
SEC Approves Rules Relating to Financial Exploitation of Senior Investors (Rule 2165 and Rule 4512)
FINRA has recently announced the SEC approval of new Rule [...]
31
05, 2017
FINRA Provides Reminders Concerning the Use of Social Networking Websites and Business Communications
In today’s ever-changing technological environment, overseeing new forms of communication [...]
23
05, 2017
MSRB Reminds Municipal Advisors of September Deadline to complete Series 50 Exam
As summarized below, the MSRB recently issued a reminder to [...]
12
05, 2017
Solicitor Municipal Advisors Rules
As summarized below, the MSRB recently provided guidance regarding the [...]
3
05, 2017
Safe Harbor: Equity and Debt Research Rules for Desk Commentary
As summarized below, FINRA is currently seeking comment on proposed [...]
24
04, 2017
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
As summarized below, FINRA is currently seeking comment on proposed [...]
18
04, 2017
T+2 Settlement Cycle for Transactions in Municipal Securities
As summarized below, the MSRB recently announced the effective date [...]
28
03, 2017
Rule change related to Registration and Continuing Education
As summarized below, FINRA recently filed with the SEC a [...]