Amended MSRB Rules G-15 and G-30 on Required Disclosure of Mark-ups and Mark-downs to Retail Customers on Certain Transactions and to Provide Guidance on Prevailing Market Price
Thursday, January 12, 2017
3:00 p.m. – 4:00 p.m. ET
During this free webinar, staff will review key provisions of amendments to MSRB Rule G-15 on confirmation, clearance, settlement and other uniform practice requirements with respect to transactions with customers and MSRB Rule G-30 on prices and commissions related to disclosure of mark-ups and mark-downs on certain customer confirmations and guidance on prevailing market price. Staff from the Financial Industry Regulatory Authority (FINRA) will join MSRB staff at the conclusion of the webinar to answer questions, as time permits, about the MSRB amendments as well as FINRA’s parallel requirements for the corporate and agency bond markets.
At the end of this webinar, participants will be able to:
- Identify the mark-up and mark-down disclosure requirements for all applicable transactions in municipal securities with retail customers;
- Identify the time of execution and disclosure requirements for transactions in municipal securities with retail customers including a hyperlink to a webpage on EMMA®; and
- Understand the key elements of the guidance to determine prevailing market price of a municipal security.
Click here to register.