New Year Brings MSRB Advertising Rule Change
The rule changes, which take effect February 7, 2019, were designed to enhance the MSRB’s fair practice rules relating to advertising. Read More
MSRB Keeps Watchful Eye on Retail Investor Risks
Find out which products and practices the MSRB says could adversely be impacting retail investors. Read More
Municipal Advisor Charged with Fiduciary Violation
Earlier this month, the SEC announced it charged a registered municipal advisor and its owner with defrauding their client, a Texas school district, in connection with multiple municipal bond offerings. Read More
Complying with the MSRB’s New CE Requirement
To assist firms in complying with the MSRB's new continuing education regulation, provided is a brief overview of the newly enforced rule, how it compares to FINRA’s Firm Element requirement and best practices to comply. Read More
