11,473 results found

Senator Ben Cardin (D-MD) swore in Gary Gensler as Chair of the SEC. Chair Gensler was nominated by President Joe Biden on February 3, 2021, and was confirmed by the Senate on April 14, 2021.

The Investment Company Institute ("ICI") Board of Governors elected William F. "Ted" Truscott to serve as ICI Chair for a one-year term.

Morgan Stanley Smith Barney LLC, an investment advisory firm, agreed to pay a $13 million penalty to settle SEC charges alleging the firm overbilled investment advisory clients...

In a published consultation report, IOSCO made several recommendations to assist trading venues and regulatory authorities on the "implementation, operation and monitoring" of mechanisms...

MSRB named Mark T. Kim as its Deputy Executive Director and Chief Operating Officer.

The MSRB raised the annual fee charged to municipal advisor firms under MSRB Rule A-11 with respect to each person associated with a municipal advisor who is qualified as a municipal advisor representative.

In its annual Fact Book, the MSRB reported that trading of municipal securities went up substantially in 2018.

The MSRB released interpretive guidance regarding MSRB Rule G-47 (Time of Trade Disclosure) stating that a municipal security that bears a market discount...

The MSRB noted that the pilot enrollment period also has been moved to March 4-15, 2019, and that the permanent Series 54 examinations will be available in Fall 2019.

MSRB reported the highest dollar volume of municipal securities transactions for any year since 2012.

The MSRB proposed a rule change that would increase the professional fee for municipal advisors. The assessment fee charged under MSRB Rule A-11 for each municipal advisor

MSRB reminded brokers, dealers and municipal securities dealers ("dealers") of their investor protection obligations regarding transactions in the municipal securities of distressed municipalities.

The MSRB requested comments on proposed new requirements that would (i) amend MSRB Rule G-21 applicable to municipal securities advertisements, in order to conform the MSRB's requirements...

The MSRB will implement a new examination requirement on November 12, 2019 for principals of municipal advisors.

Lawson Financial Corporation, its CEO and its former underwriter counsel ("respondents") agreed to settle SEC charges alleging that the brokerage firm and certain of its officers violated antifraud provisions.

The NFA Board of Directors (the "Board") re-elected Maureen C. Downs to serve as Chair for a one-year term and Don Thompson to serve as Vice Chair.

The National Futures Association Board of Directors ("Board") reelected Goldman Sachs & Co. Managing Director Michael C. Dawley to a one-year term as NFA Chair.

The National Futures Association ("NFA") submitted a proposal to update the risk disclosure statement for security futures contracts that broker-dealers are required to provide to a customer prior to trading.