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The Municipal Securities Rulemaking Board voted to amend its Rule G-40 on advertising by muni advisors and Rule A-12 on registration during its final board meeting of the year.
Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.
The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor
The SEC has charged Oppenheimer in a litigated action and settled with BNY Mellon, TD Securities and Jefferies for failing to comply with municipal bond disclosure requirements.
The MSRB's proposal to reduce trade reporting times will harm smaller dealers who don't have the resources to automate their order flow, according to comments the Board received.