An Arkansas-based broker-dealer, often serving as an underwriter, and its former CEO settled SEC charges for fair dealing violations arising from a municipal bond tender offer.
News & Insights
22 News Results
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities concerning ethical standards for financial advisors.
The SEC charged a municipal advisor with breaching its fiduciary duty by failing to provide services promised to its client.
The MSRB provided updated guidance on rules affecting the duties of non-solicitor municipal advisors and the making of recommendations.
The MSRB requested public comment on a proposed rule concerning discretionary transactions in customer accounts.