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Enhanced Disclosures planned for FINRA Rule 2232

May 14, 2018

FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities

FINRA recently adopted enhanced confirmation disclosure requirements for
corporate and agency debt securities.  Beginning May 14, 2018, members
will be subject to the new requirements, set out in Rule 2232, concerning
confirmation disclosure of mark-ups and mark-downs, time of execution,
and a security-specific URL for webpages that contain relevant information
about the traded securities.
The new requirements, approved by the Securities and Exchange Commission in November 2016, will require member firms to disclose additional transaction-related information to retail customers for trades in certain fixed income securities. Specifically, amended Rule 2232 requires a member to disclose the amount of mark-up or mark-down it applies to trades with retail customers in corporate or agency debt securities if the member also executes an offsetting principal trade in the same security on the same trading day.


May 14, 2018
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