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Groups raise concern about recordkeeping in MSRB draft rule

The Municipal Securities Rulemaking Board has closed its second comment period on Rule G-46, collecting three responses.

Susan gaffneyExchange commissionThird party marketers associationNational association of municipal advisorsThird party marketers assocationFinancial markets associationMunicipal securities rulemaking boardSecurities industryNational associationMunicipal advisorsThird party marketersPlay ruleWashington dcMsrb rules

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

MSRB s solicitor rule needs more clarity

MSRB s solicitor rule needs more clarity
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.

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