FINRA fines broker for muni rule violations
FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.
Source: bondbuyer.com
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Top News In Msrb Rules Today - Breaking & Trending Today
Municipal advisor and SEC spar over first-ever G-42 charges
The defendants believe the charges are lacking on numerous levels while the SEC argued that fee-splitting is a clear and known rule violation.
Source: bondbuyer.com
MSRB extends COVID-19 relief, seeks to change fee approach
The Municipal Securities Rulemaking Board voted to propose amendments to extend remote inspections until the end of this year, in addition to adjusting its fee model for the 2023 year.
Source: bondbuyer.com
MSRB's request for ESG information may be too broad
Industry advocacy groups want uniform rules that enhance clarity and common understanding without adding complexity or liability.
Source: bondbuyer.com
Muni groups urge MSRB to tread lightly with pricing guidance
Groups believe that the draft compliance resources contain some useful information, though they could be construed as creating new compliance requirements.
Source: bondbuyer.com