‹ Back to Listing

MSRB Proposes to Consolidate and Harmonize Fair Dealing Obligations

Download
Share
September 30, 2013
Client Alert

The Municipal Securities Rulemaking Board recently filed several rule proposals with the Securities and Exchange Commission that focus on fair dealing obligations of dealers in municipal securities. The rule proposals include proposed MSRB Rule G-47 (Time of Trade Disclosure), proposed revisions to MSRB Rule G-19 (Suitability), proposed MSRB Rules D-15 and G-48 (Sophisticated Municipal Market Professionals), and proposed revisions to certain related interpretive guidance.

View Relevant Document(s):