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UID:7994-1798588800-1798675199@www.legayelaw.com
SUMMARY:MSRB Annual Review and Testing of Supervisory Controls
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer to conduct a review\, at least annually\, of the municipal securities activities in which it engages\, which review shall be reasonably designed to assist in detecting and preventing violations of\, and achieving compliance with\, applicable securities laws and regulations\, and with applicable Board rules. Each dealer shall review the municipal securities activities of each office\, which shall include the periodic examination of customer accounts to detect and prevent irregularities or abuses.
URL:https://www.legayelaw.com/calendar/msrb-annual-review-and-testing-of-supervisory-controls/
CATEGORIES:Compliance
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DTSTART;VALUE=DATE:20261231
DTEND;VALUE=DATE:20270101
DTSTAMP:20260616T130729
CREATED:20260603T210538Z
LAST-MODIFIED:20260603T210538Z
UID:7996-1798675200-1798761599@www.legayelaw.com
SUMMARY:MSRB Municipal Advisors to Complete Annual CEO Certification
DESCRIPTION:MSRB Rule G-44 requires each Chief Executive Officer(s) (or equivalent officer(s)) of the municipal advisor to certify in writing annually that the municipal advisor has in place processes to establish\, maintain\, review\, test and modify written compliance policies and written supervisory procedures reasonably designed to achieve compliance with applicable rules. This requirement\, however\, shall not apply to municipal advisors that are subject to a substantially similar certification requirement of Financial Industry Regulatory Authority with respect to all applicable rules.
URL:https://www.legayelaw.com/calendar/msrb-municipal-advisors-to-complete-annual-ceo-certification/
CATEGORIES:Compliance
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DTSTART;VALUE=DATE:20261231
DTEND;VALUE=DATE:20270101
DTSTAMP:20260616T130729
CREATED:20260603T210651Z
LAST-MODIFIED:20260603T210651Z
UID:7998-1798675200-1798761599@www.legayelaw.com
SUMMARY:MSRB Municipal Advisors Continuing Education
DESCRIPTION:MSRB Rule G-3 requires municipal securities dealers and municipal advisors to establish continuing education program requirements.
URL:https://www.legayelaw.com/calendar/msrb-municipal-advisors-continuing-education/
CATEGORIES:Compliance
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