The MSRB provided additional guidance for regulated entities concerning COVID-19-related regulatory relief.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
SEC Office of Compliance Inspections and Examinations Director Peter Driscoll highlighted key risks facing retail investors caused by bad actors and poor internal controls.
MSRB published investor education materials on mark-up and mark-down disclosures in municipal securities trade confirmations. The materials provide additional guidance for complying with new rules scheduled to take effect May 14, 2018.
FINRA and the MSRB updated FAQs regarding confirmations for fixed-income transactions.