The MSRB proposed amendments to narrow the scope of the annual customer notification requirements under MSRB rules on delivery of investor brochures and transactions with sophisticated municipal market professionals.
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22388 News Results
The SEC Division of Trading and Markets staff stated that as of September 28. 2021, "broker-dealers will no longer be able to publish proprietary quotations for the securities of any issuer for which there is no current and publicly available information."
FDIC-proposed amendments to deposit insurance coverage rules that would simplify and expand deposit insurance for trusts and mortgage accounts were published in the Federal Register.
A public accounting firm and three of its partners settled SEC charges for improper professional conduct while competing for selection as an independent auditor for a U.S. publicly traded company.
The SEC approved a new FINRA rule that will impose additional requirements on broker-dealers deemed to pose a significant risk to investors.