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. … Continue reading MSRB Annual Review and Testing of Supervisory Controls
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2 events,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 … Continue reading MSRB Municipal Advisors to Complete Annual CEO Certification MSRB Rule G-3 requires municipal securities dealers and municipal advisors to establish continuing education program requirements. |
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