Latest Breaking News On - Municipal advisors - Page 19 : comparemela.com

Caution is key with conflicts of interest under MSRB Rule G-42

Erring on the side of caution and good documentation are key to managing conflicts of interest

Brian reillyTracie palmerAshley mcanultyEd fierroGail marshallExchange commissionEhlers incStephens incCompliance outreach program for municipal advisorsOak municipal advisorsFinancial industry regulatory authorityOutreach programMunicipal advisorsMunicipal securities rulemaking boardFinancial industry regulatoryChoice advisors

MSRB seeks comment on new issue pricing compliance guidance

The proposed guidance does not indicate any particular problems with compliance, the MSRB said.

United statesDavid hodappMichael deckerSusan gaffneyLeslie norwoodGail marshallExchange commissionCompliance advisory groupNational association of municipal advisorsFinancial industry regulatory authorityMunicipal securities rulemaking boardNational associationMunicipal advisorsBroker dealersWashington dc

SEC files first-ever cases enforcing Rule G-42 against municipal advisors

SEC files first-ever cases enforcing Rule G-42 against municipal advisors
bondbuyer.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from bondbuyer.com Daily Mail and Mail on Sunday newspapers.

United statesSusan gaffneyMatthias omearaPaula permenterChoice advisorsExchange commission onEnforcement divisionNational association of municipal advisorsFinancial industry regulatory authorityUs district courtEnforcement division public finance abuse unitExchange commissionMunicipal securities rulemaking board ruleSouthern districtMatthiaso mearaAnn gaunt

Intriguing FINRA Enforcement Action In the Bond Market: More to Come? | Arent Fox

Intriguing FINRA Enforcement Action In the Bond Market: More to Come? | Arent Fox
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

New yorkUnited statesJefferson countyOrange countyGlobal commercial bankSenate committee on bankingThird party marketers associationDivision of examinationsGoldman sachsSenate bankingUs environmental protection administrationLloyds bankMunicipal fund securities advisory groupCredit suisseDeutsche bankCompliance advisory group

SEC, MSRB, FINRA To Hold Compliance Outreach Program For Municipal Advisors

SEC, MSRB, FINRA To Hold Compliance Outreach Program For Municipal Advisors
mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.

Daniel kahlRebecca olsenBari havlikGail marshallOffice of municipal securitiesCompliance outreach program for municipal advisorsDivision of examinationsFinancial industry regulatory authorityExchange commission division of examinationsExchange commissionMunicipal securitiesMunicipal securities rulemaking boardOutreach programActing directorRegulatory officer gail marshallVice president