Municipal Securities

"In light of this, effective disclosures regarding cybersecurity practices protect investors, ensure that an issuer’s critical systems are secure, and instill confidence that issuers have ...

"We also have a role as a cop on the beat. We recently charged four underwriters for disclosure-related violations while offering municipal bonds"

The syndicate desk allocated oversubscribed bonds to orders for flippers ahead of institutional customer and dealer orders. RBC failed reasonably to implement the WSPs it ...

New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities

Hilltop failed reasonably to supervise the municipal securities activities of its registered representative to ensure compliance with MSRB rules and the federal securities laws. As ...

This is the third municipal bond offerings case in four months

Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives

Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...

The suit is a bid to invalidate an order allowing MAs' to arrange private placements without registering as B-Ds

UBS has taken a number of remedial steps, including reviewing and improving its retail order period policies and procedures, introducing retail order period training for ...