MSRB Reminders: Regulatory Exam Priorities
As part of its routine examinations, FINRA will often coordinate [...]
14
06, 2021
7
11, 2018
SEC Adopts Amendments to Rule 15c2-12 to Improve Municipal Securities Disclosure
In August 2018, the U.S. Securities and Exchange Commission (the [...]
14
06, 2017
Rule 4530 Product and Problem Codes and Filing Application Form to reflect changes related to the DOL’s fiduciary rule
FINRA announced that it has revised the Rule 4530 (Reporting [...]
8
06, 2017
Learn more about the Electronic Municipal Market Access (EMMA) Website
Millions of investors participate in municipal bond ownership. It pays [...]
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 [...]
18
04, 2017
T+2 Settlement Cycle for Transactions in Municipal Securities
As summarized below, the MSRB recently announced the effective date [...]
8
03, 2017
MSRB Requests Comment on Draft Amendments to MSRB Rule G-34
As summarized below, the Municipal Securities Rulemaking Board (MSRB) recently [...]
16
01, 2017
MSRB requests comment on draft amendments to MSRB Rule G-26 on Customer Account Transfers
The MSRB is requesting comment on draft amendments to MSRB [...]
9
12, 2016
The Application of MSRB Rules to Transactions in MSRB Accounts
Registered representatives have increasingly inquired about the application of certain [...]