A municipal securities firm settled FINRA charges for failing to file complete and timely quarterly reports with the Municipal Securities Rulemaking Board and for failing to establish, maintain, and enforce an adequate supervisory system.
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In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.
The MSRB modified several rules to align with Regulation Best Interest.