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The MSRB filed an amendment to its rule for political contributions and prohibitions. The amendment clarifies that contributions made by persons who become associated with a dealer and become municipal finance professionals of the dealer, even if such contributions are made prior to August 17, 2016, are subject to the two-year look-back in Rule G-37.

The SEC reinstated an accountant who had been suspended for engaging in a "number of improper accounting practices" that "materially misstated [a computer company's] financial results and enabled the company to report lower operating expense as a percentage of revenue."