All Municipal Securities Rulemaking Board articles
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Article
SEC brings first-ever actions enforcing 2016 municipal advisor rule
The Securities and Exchange Commission charged Choice Advisors and two of its principals in its first enforcement actions under a non-solicitor municipal advisors rule that took effect in 2016.
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Article
MSRB shakeup transitions CCO to chief regulatory officer
Senior leadership changes at the Municipal Securities Rulemaking Board under new CEO Mark Kim include the transition of the organization’s chief compliance officer to the role of chief regulatory officer.