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.
The SEC approved the MSRB rule amendments to establish core standards of conduct and duties for "solicitor municipal advisors."
Comments on an MSRB proposal to establish core standards of conduct and duties for "solicitor municipal advisors" are due by March 7, 2023.
The MSRB proposed a new rule that would "establish the core standards of conduct and duties of 'solicitor municipal advisors' when engaging in solicitation activities that would require them to register with the SEC and the MSRB as municipal advisors."