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January 1

MSRB First Day to File Form G-37 for Quarter Ending December 31st

MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB … Continue reading MSRB First Day to File Form G-37 for Quarter Ending December 31st →

January 1

MSRB First Day of Form A-12 Annual Affirmation Period

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 … Continue reading MSRB First Day of Form A-12 Annual Affirmation Period →

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