A broker dealer settled FINRA charges for failing to disclose to retail customers markup and markdown information on transactions in debt securities, including municipal securities and corporate and agency debt.
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A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
MSRB published investor education materials on mark-up and mark-down disclosures in municipal securities trade confirmations. The materials provide additional guidance for complying with new rules scheduled to take effect May 14, 2018.