The MSRB requested comment on a draft amendment that would limit certain required annual customer notifications by broker-dealers and municipal securities dealers.
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A firm settled FINRA charges for placing bids that were well under market value in response to bid-wanted auctions or requests for quotes in municipal securities, thereby failing to exercise its best judgment in determining the fair market value of the securities.
The MSRB is seeking comment on a draft amendment to MSRB suitability regulations that would require bank dealers to comply with SEC Regulation Best Interest.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
A firm settled FINRA charges for failing to supervise its representatives' recommendations regarding variable annuities, mutual funds and 529 plans.