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 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).