Municipal advisor challenges first-ever G-42 SEC charges
The defendants are raising questions about due process and the definition of fee-splitting arrangements.
Source: bondbuyer.com
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Top News In Msrb Rules Today - Breaking & Trending Today
FINRA charges underwriter in case involving $6 million in customer losses
Underwriter Cantone Research’s alleged fraudulent misrepresentations are tied to two defaulted bond offerings.
Source: bondbuyer.com
MSRB board meeting to focus on potential rule amendments
Modernizing rules and leveraging technology are focal points for the organization.
Source: bondbuyer.com
Caution is key with conflicts of interest under MSRB Rule G-42
Erring on the side of caution and good documentation are key to managing conflicts of interest
Source: bondbuyer.com
Merrill Lynch settles FINRA muni charges for $1 million
FINRA said the firm failed to detect and resolve short positions in municipal securities
Source: bondbuyer.com