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The change would give broker dealers, municipal securities dealers and municipal advisors until Jan. 31 to annually affirm the information on Form A-12, among other changes.
While the MSRB's compliance resources are not a rule and it has not been filed with the SEC, one can infer that following the same will be beneficial should the SEC inquire.
The proposed amendment to Rule G-3 is designed to promote diversity and inclusion in the muni market.
The Municipal Securities Rulemaking Board has filed to extend G-27 relief to give dealers an extra six-month window for remote inspections
FINRA accused the firm of negligently misrepresenting monthly account statements.