MSRB Reminders: Regulatory Exam Priorities
As part of its routine examinations, FINRA will often coordinate [...]
14
06, 2021
14
06, 2017
Rule 4530 Product and Problem Codes and Filing Application Form to reflect changes related to the DOL’s fiduciary rule
FINRA announced that it has revised the Rule 4530 (Reporting [...]
12
05, 2017
Solicitor Municipal Advisors Rules
As summarized below, the MSRB recently provided guidance regarding the [...]
18
04, 2017
T+2 Settlement Cycle for Transactions in Municipal Securities
As summarized below, the MSRB recently announced the effective date [...]
8
03, 2017
MSRB Requests Comment on Draft Amendments to MSRB Rule G-34
As summarized below, the Municipal Securities Rulemaking Board (MSRB) recently [...]
16
01, 2017
MSRB requests comment on draft amendments to MSRB Rule G-26 on Customer Account Transfers
The MSRB is requesting comment on draft amendments to MSRB [...]
9
12, 2016
The Application of MSRB Rules to Transactions in MSRB Accounts
Registered representatives have increasingly inquired about the application of certain [...]
5
12, 2016
MSRB announces Interpretive Notice re: Time of Trade Disclosure
MSRB Rule G-47, as it relates to time of trade [...]
20
10, 2016
MSRB Revises Content Outline for Series 50 Exam
In June 2016, the Municipal Securities Rulemaking Board (MSRB) filed [...]
17
06, 2016
MSRB Rule G-18: Best Execution
MSRB Rule G-18, the new best-execution rule for municipal securities, [...]