Regulatory
SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media.
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MSRB Municipal Variable-Rate Demand Obligations and Auction-Rate Securities (2009-2022)
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Broker-Dealer Settles FINRA Charges for Failing to Properly Supervise Bond Sales to Affiliate.
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