Municipal Securities Rulemaking Board

• 

  MSRB (Still) Awaits SEC Muni Advisor Rule; Plans EMMA 2.0

  By Melanie Waddell, AdvisorOne  |  May 8, 2013

  Three years after passage of the Dodd-Frank Act, the Municipal Securities Rulemaking Board is still waiting for the SEC to issue its rule defining who is a municipal advisor.

• 

  New Hire Roundup: LPL Financial Welcomes Lochan

  By Marlene Y. Satter, AdvisorOne  |  January 9, 2013

  This week in new hires, Brendt Stallings and Husam Nazer joined DoubleLine, the MSRB board announced that it is looking for a few good applicants, and Citi named two new co-presidents.

• 

  SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another Fine

  By Marlene Y. Satter, AdvisorOne  |  October 11, 2012

  FINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.

• 

  Goldman Sachs Agrees to Pay $12 Million for Pay-to-Play Violations

  By Melanie Waddell, AdvisorOne  |  September 27, 2012

  SEC says Goldman fine is the biggest it has levied for MSRB pay-to-play violations, this one involving undisclosed contributions to a political candidate a Goldman banker was soliciting for business.

• 

  MSRB Names Goldsholle General Counsel

  By Melanie Waddell, AdvisorOne  |  September 20, 2012

  Goldsholle, currently with FINRA, will oversee legal activities including market regulation, professional qualifications, enforcement support and corporate governance.

• 

  SEC Issues Risk Alert on Pay-to-Play Practices

  By Melanie Waddell, AdvisorOne  |  August 31, 2012

  Just in time for election season, the SEC issued Friday an alert to strengthen compliance with an MSRB rule that limits political contributions by municipal securities professionals to campaigns of public officials.

• 

  4 Strikes Against Municipal Bonds

  By Ronald Delegge, ETFguide.com  |  August 31, 2012

  It’s easy to contrast the muni-bond market of 2008 with today’s landscape – but there are significant differences.

• 

  SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma Deal

  By Marlene Y. Satter, AdvisorOne  |  August 30, 2012

  Among the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.

• 

  Plaze to Leave SEC as Cross Joins Agency

  By Melanie Waddell, AdvisorOne  |  August 2, 2012

  The SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agency’s new Office of Municipal Securities.

• 

  SEC Wants More Power Over Muni Bond Market

  By Melanie Waddell, AdvisorOne  |  July 31, 2012

  The 165-page report asks Congress for sweeping reforms, focusing on two key areas of concern: disclosure and market structure