MSRB's 2021 annual report highlights strategic plan and reduction of reserves
The Municipal Rulemaking Securities Board's annual report and audited financial statements were published Tuesday.
Source: bondbuyer.com
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MSRB seeking non-dealer advisor, institutional investor for board
The Municipal Securities Rulemaking Board has begun accepting applications for two regulated and two public board positions until Feb. 7.
Source: bondbuyer.com
Outlook 2022: MSRB aims to modernize
The MSRB's priorities for the year include action on ESG, updates to its EMMALabs platform, and more requests for comment aimed at modernizing its rulebook.
Source: bondbuyer.com
FINRA 529 share class settlements total $9.5 million in restitution
Some firms are voluntarily self-reporting potential supervisory and suitability rule violations.
Source: bondbuyer.com
FINRA fines RBC over $280,000 for violating muni rule
FINRA found that RBC’s supervisory system did not flag recommendations that resulted in potentially unsuitable concentrations of high-yield bonds in certain customer accounts.
Source: bondbuyer.com