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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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."
At its quarterly Board of Directors meeting, the MSRB voted to propose amending its rules to allow dealer firms to conduct office inspections remotely until December 31, 2022.