MSRB Rule G-44

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 →