Client Alert

The Financial Industry Regulatory Authority, Inc. and the Municipal Securities Rulemaking Board recently requested comment on proposals to require disclosure of pricing information on customer trade confirmations for certain fixed income security transactions. The proposals would require dealers, in “retail-size” customer transactions, to disclose on the customer confirmation (1) the price of certain same-day principal trades in the same security, (2) the customer’s price for the security and (3) the difference between these two prices. The FINRA and MSRB proposals are substantially similar; however FINRA and the MSRB are soliciting comments on factors specific to corporate and municipal bonds, respectively. You may submit comments for both proposals through January 20, 2015.

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We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
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    Offices across the country and in key US financial centers

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