Posts tagged SMMP.

Effective July 5, 2014, the Municipal Securities Rulemaking Board ("MSRB") implements a consolidation and re-write of its prior fail-dealing Rules and Guidance for municipal securities dealers. On March 7, the SEC approved: - Revisions to Rule G-19 on suitability. The revisions harmonize the Rule with FINRA's suitability Rule 2111, including its "reasonable-basis," "customer-specific" - including investment profile, "quantitative" (f/k/a churning), "investment strategies" (including explicit hold recommendations), with accompanying technical changes ...

Posted in: FINRA, SMMP
Tags: finra, MSRB, SMMP
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