Recent actions by financial industry regulators, including the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority, Inc. (“FINRA”), and the Municipal Securities Rulemaking Board (“MSRB”),...more
2/20/2017
/ Broker-Dealer ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment Adviser ,
MSRB ,
Pay-To-Play ,
Political Contributions ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Statutory Violations
The Securities and Exchange Commission (“SEC”) recently published for comments rules proposed by the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”) to regulate...more
1/23/2016
/ Broker-Dealer ,
Compensation ,
Disgorgement ,
Financial Industry Regulatory Authority (FINRA) ,
Government Entities ,
Look-Back Measurement Period ,
MSRB ,
Municipal Advisers ,
Pay-To-Play ,
Political Contributions ,
Popular ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)