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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

LIBOR Transition: (Bet You Didn t Know) Municipal Advisors and Underwriters Duties | Arent Fox

LIBOR Transition: (Bet You Didn t Know) Municipal Advisors and Underwriters Duties | 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.

Ronaldw smithLesliem norwoodOffice of compliance inspectionsRisk examination teamDivision of examinationsOffice of municipal securitie staff statementExamination initiativeGovernment finance officers associationSecurities exchangeFinancial markets associationSee securities exchangeFor our complete archiveSolicitor municipal advisorsSecurities rulemaking boardMunicipal advisorsRisk alert

MSRB s solicitor rule needs more clarity

MSRB s solicitor rule needs more clarity
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Donna dimariaSusan gaffneyLeslie norwoodExchange commissionThird party marketers associationNational association of municipal advisorsSecurities exchangeFinancial markets associationMunicipal securities rulemaking boardSolicitor municipal advisorsSecurities exchange actSecurities industryFinancial marketsDodd frank actNational associationChair donna dimaria