SEC Pay-to-Play July 31 Effective Date a ‘Nonevent’: IAA Chief
The SEC won’t enforce ban on advisors’ use of third parties to solicit business from government entities until FINRA and the MSRB issue final rules.
FINRA, MSRB Plan to Require More Fixed-Income Pricing Disclosure
The new rules would help retail investors evaluate transaction costs, the MSRB said.
SEC to Hold Muni Advisor Compliance Summit
The SEC, FINRA and MSRB will hold inaugural Compliance Outreach Program for Municipal Advisors in Chicago on Nov. 3.
MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement
‘We’re dealing with other people’s money here,’ MSRB Chairman says.
New Jersey Note Auction 'Oversubscribed' Despite SEC Suit
Just one day after settling allegations of fraud with the Securities and Exchange Commission, New Jersey sold $2.25 billion in short-term notes, a new record.