Finra probing retail municipal-bond sales at broker-dealers
The Financial Industry Regulatory Authority Inc. is investigating whether brokerage firms are meeting their obligations to municipal-bond issuers who seek to have the bonds distributed to retail investors, a Finra official said today.
The Financial Industry Regulatory Authority Inc. is investigating whether brokerage firms are meeting their obligations to municipal-bond issuers who seek to have the bonds distributed to retail investors, a Finra official said today.
The investigation, which hasn't been raised at this time to the
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