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The MSRB released a compliance resource for dealers on (i) disclosing mark-ups and (ii) determining prevailing market price. The resource is intended to assist dealers in their compliance...
within Intellectual Property, Food, Drugs, Healthcare, Life Sciences and Transport topic(s)
The MSRB released a compliance resource for dealers on
(i) disclosing mark-ups and (ii) determining prevailing market
price. The resource is intended to assist dealers in their
compliance with amendments to
MSRB Rule G-15 and
Rule G-30, which took effect on May 14, 2018.
MSRB Rule G-15 requires dealers to disclose information on
retail customer confirmations for principal transactions; Rule G-30
mandates that dealers use diligence in determining the market value
of the security and the appropriateness of the compensation
received on a transaction.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
