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 … Continue reading MSRB Annual Review and Testing of Supervisory Controls
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, … 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.