In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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A broker-dealer settled SEC charges for operating as an unregistered municipal advisory firm by providing advice to a municipality regarding securities that were purchased with the proceeds from an issuance of bonds.
The SEC Division of Examination identified common compliance deficiencies found during examinations of municipal advisors.
The MSRB extended the deadline for comments on draft compliance resources related to new issue pricing.
At its quarterly Board of Directors meeting, the MSRB reviewed initiatives under the strategic plan for improving and protecting the municipal securities market.