The SEC set a comment deadline of May 30, 2023 for an MSRB rule proposal to (i) extend remote office inspection relief until June 30, 2024 and (ii) remove references to expired pandemic-related relief for brokers-dealers and municipal securities dealers.The proposal was published in the Federal Register.
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The MSRB proposed to further extend remote office inspection relief and (ii) remove references to expired pandemic-related relief for brokers, dealers and municipal securities dealers.
Comments on the MSRB proposal to amend MSRB Rule G-12 ("Uniform Practice") and MSRB Rule G-15 ("Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers") must be submitted by May 3, 2023.
Comments on an MSRB amendment proposed amendment to Rule G-40 that would allow for the use of testimonial statements in municipal advisor advertisements are due by April 26, 2023.
The SEC approved the MSRB rule amendments to establish core standards of conduct and duties for "solicitor municipal advisors."