comparemela.com

Latest Breaking News On - Msrb - Page 3 : comparemela.com

MSRB advances a handful of regulatory initiatives

The MSRB intends to file proposed amendments to Rule G-12 on uniform practice with the SEC and move forward with draft amendments to Rule G-32 on primary offering disclosures.

Exchange commissionMunicipal securities rulemaking boardFinancial industry regulatoryWashington dcMsrb rulesPublic finance

MSRB issues request for comment on time of trade proposal

The board will be accepting comments on amendments to Rule G-47 until April 17.

Saliha olgunExchange commissionMunicipal securities rulemaking boardWashington dcMsrb rulesRegulation compliance

MSRB files proposed solicitor MA rule with SEC

The proposed Rule G-46 seeks to clarify certain rules specific to solicitor municipal advisors, a very specific group of professionals.

Susan gaffneyExchange commissionNational association of municipal advisorsMunicipal securities rulemaking boardNational associationWashington dcMsrb rulesFinancial regulations

Industry leaders look at regulatory, market trends for 2023

"I think ESG is here to stay in our market. I think it's a natural fit with the types of infrastructure that our market finances," said MSRB CEO Mark Kim.

New yorkUnited statesKristin stephensDavid womackMark kimDonna albericoBrian garzioneGlenn mcgowanCommunity reinvestmentNational outlook conferenceFitch ratingsMunicipal water finance authorityMoody investors serviceChicago sales tax securitization corpHawkins delafield woodKroll bond rating agency

FINRA fines unregistered broker-dealer $45,000

The Financial Industry Regulatory Authority found that BNA Wealth didn't meet the regulatory requirements when it sold shares in 529 plans.

Financial industry regulatory authorityRock hillSouth carolina basedWashington dcMsrb rulesBroker dealersPublic finance

vimarsana © 2020. All Rights Reserved.