The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

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