The MSRB updated its FAQs for regulated entities concerning COVID-19-related regulatory relief.
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The MSRB provided additional guidance for regulated entities concerning COVID-19-related regulatory relief.
MSRB published investor education materials on mark-up and mark-down disclosures in municipal securities trade confirmations. The materials provide additional guidance for complying with new rules scheduled to take effect May 14, 2018.
FINRA and the MSRB updated FAQs regarding confirmations for fixed-income transactions.
FINRA and the MSRB issued guidance on new confirmation disclosure requirements that apply to transactions with retail customers in corporate debt, agency debt and municipal securities.