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Opportunity to provide feedback to MSRB on new-issue pricing critical

October 25, 2021

The request for comments also asks whether the MSRB should amend the relevant rules or adopt/amend formal interpretive guidance that expressly defines a regulated entity’s obligations with respect to new-issue pricing.

Gail Marshal Municipal Securities Rulemaking Board Bond Buyer Assessing Supervision New Issue Advisor Considerations

Source: bondbuyer.com

FINRA Reminds Broker-Dealers of their Obligations to Safeguard Customer Information and to Build Controls Designed to Protect Customers from Fraud | Bryan Cave Leighton Paisner

May 27, 2021

Key Takeaways: ..According to FINRA, the number of reported instances involving broker-dealer fraudulent account takeovers (ATO) and related theft is on the rise. ...

Money Laundering Compliance Program Customer Identification Program Bank Secrecy Member Firm Continued Regulatory Obligations Short Message Service Key Takeaways

Source: jdsupra.com

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Opportunity to provide feedback to MSRB on new-issue pricing critical

FINRA Reminds Broker-Dealers of their Obligations to Safeguard Customer Information and to Build Controls Designed to Protect Customers from Fraud | Bryan Cave Leighton Paisner

Explore More Categories