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MSRB Filing Rule Change to Rule G-3 on Professional Qualification Requirements

August 6, 2014

The Municipal Securities Rulemaking Board’s (MSRB) request for approval from the Securities and Exchange Commission (SEC) of a proposal to amend MSRB Rule G-3 has been published in the Federal Register. Proposed changes to Rule G–3 would require brokers, dealers and municipal securities dealers to conduct annual municipal securities training for registered representatives who regularly engage in, and municipal securities principals who regularly supervise, municipal securities activities.

Read the notice of publication in the Federal Register. Read the MSRB’s regulatory notice of its rule filing. Read the rule filing. The deadline for submitting comments to the SEC is August 26, 2014.

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Date:
August 6, 2014
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