The MSRB proposed updates to its by-laws to reflect recent amendments to MSRB rules on membership and governance.
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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.
FINRA will elect new governors to its Board at an annual meeting on August 22, 2017.
FINRA will elect a Governor to the Board of Governors from the Large Firm category.
The MSRB Board of Directors will discuss corporate and governance issues at an upcoming meeting scheduled for October 26-27, 2016.