A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.
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The Office of the Comptroller of the Currency ("OCC") examined risks facing national banks and federal savings associations. In its Semiannual Risk Perspective for Fall 2016, the OCC concluded that high compliance risk continues for these institutions.
The MSRB has moved its electronic library of political contribution disclosures made by municipal securities dealers to the Electronic Municipal Market Access (EMMA®) website to locate them alongside other municipal market disclosures and data. View Press Release in full here (links externally to MSRB website).