Intriguing FINRA Enforcement Action In the Bond Market: More to Come? | Arent Fox - JDSupra

Retrieved on: 2021-09-22 19:52:30

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Financial markets

Finance

United States securities law

Money

Financial Industry Regulatory Authority

Municipal Securities Rulemaking Board

U.S. Securities and Exchange Commission

Broker-dealer

United States Securities Regulation

Security

United States

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Intriguing FINRA Enforcement Action In the Bond Market: More to Come? | Arent Fox - JDSupra. View article details on HISWAI: https://www.jdsupra.com/legalnews/intriguing-finra-enforcement-action-in-3049468/

Excerpt

In 2021, the Financial Industry Regulatory Authority (FINRA) enforced the “best judgment” requirement for publishing prices related to municipal securities. In ...

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