Loading Events

« All Events

  • This event has passed.

Annual MSRB Registration Information Update

January 27, 2020

Each January, MSRB registrants (municipal securities dealers and municipal advisors) must verify and, if necessary, update the MSRB registration information provided in Form A-12. MSRB Rule A-12 requires that the affirmation be completed within 17 business days of the beginning of the calendar year. The MSRB uses information provided in Form A-12, in part, to communicate important information to registrants. A firm’s Primary Contact, Optional Contact or Compliance Contact can make affirmations. If no updates to Form A-12 are required, the appropriate individual can affirm the information by submitting the Form A-12 with no changes. If changes are required, the appropriate individual should make the necessary updates and submit an amended Form A-12.

Details

Date:
January 27, 2020
Event Category:
Event Tags:
Website:
https://www.finra.org/rules-guidance/rulebooks/finra-rules/4517

Organizer

MSRB
Phone
703-797-6714
View Organizer Website
Copyright© 2024 The LeGaye Law Firm P.C.