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Morgan Stanley is fined by US regulator for municipal securities violations

Morgan Stanley is fined by US regulator for municipal securities violations
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New York , United States , Jonathan Stempel , Niket Nishant , Chizu Nomiyama , Morgan Stanley , Financial Industry Regulatory Authority , Municipal Securities Rulemaking ,

Morgan Stanley is fined by US regulator for municipal securities violations

A U.S. regulator on Thursday fined Morgan Stanley $1.6 million for failing to timely cancel or close out 239 failed inter-dealer municipal securities transactions, and take prompt steps to obtain control of hundreds of municipal securities that had been due for months. The Financial Industry Regulatory Authority said the case was its first disciplinary action for violating close-out requirements under a rule imposed by the Municipal Securities Rulemaking Board. Morgan Stanley did not admit or deny wrongdoing in agreeing to settle. ....

New York , United States , Niket Nishant , Chizu Nomiyama , Jonathan Stempel , Financial Industry Regulatory Authority , Morgan Stanley , Municipal Securities Rulemaking ,

FINRA fines UBS $100,000 | Bond Buyer

FINRA fines UBS $100,000 | Bond Buyer
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FINRA Orders Four Firms to Pay $2.6 Million for Violations Relating to Fully Paid Securities Lending

FINRA Orders Four Firms to Pay $2.6 Million for Violations Relating to Fully Paid Securities Lending
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Retail Buyers Spur Muni Trading Record, Biggest Rally Since 1982

Retail Buyers Spur Muni Trading Record, Biggest Rally Since 1982
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Municipal Securities Rulemaking , Munis Havent Rallied So Much , Month Since Volcker Ran ,