In the first half of 2024, the Financial Industry Regulatory Authority (FINRA) issued several fines and suspensions against participants in the municipal market, including for violations of its registration, reporting,...more
U.S. SECURITIES AND EXCHANGE COMMISSION (SEC) - SEC Staff No-Action Letter to FINRA: Allowing Technical or Temporary Relief by FINRA - On May 13, 2020, the Staff of the SEC’s Division of Trading and Markets issued a...more