Web12 apr. 2024 · (3) for discretionary accounts maintained by a member, in addition to compliance with subparagraph (1) and, to the extent applicable, subparagraph (2) above, and Rule 3260, the member shall maintain a record of the dated, signature of each named, associated person of the member authorized to exercise discretion in the account.This … Web12 apr. 2024 · (3) for discretionary accounts maintained by a member, in addition to compliance with subparagraph (1) and, to the extent applicable, subparagraph (2) above, …
DIVER Advisor - Lumesis
Websuitability of recommendations and transactions), MSRB Rule G-20 (on gifts, gratuities, non-cash compensation and expenses of issuance), MSRB Rule G-48 (on transactions with … WebMSRB Rule G-47—Time of trade disclosure obligations; ... approach with respect to institutional investor accounts. New Rule G-19 requires that a dealer have a reasonable basis to believe that a recommended transaction or ... discretion as to how or when the transactions are jefferson county schools wv lunch menu
Rules MSRB - Municipal Securities Rulemaking Board
Web19 ian. 2010 · 1 Although the specific inquiries focused on the applicability of Rule G- MSRB Rule G-18, on best execution, and the exemption from Rule G the account holders, who are the RIA's clients, and, therefo for purposes of the application of the rules modified by R G-48, dealers do not owe these underlying account hold Web20 iul. 2024 · The Municipal Securities Rulemaking Board will continue its efforts to improve post-trade transparency, as it plans to discuss a potential request for comment on Rule G-47 on time of trade ... WebMSRB Rule G-15 basically requires that, in addition to the standard confirmation information, anything that is unusual must also be disclosed on the confirmation. Since the interest earned on most municipal obligations is free from Federal tax, it is unusual to have an issue that is subject to Federal tax - hence this must be disclosed. jefferson county seed growers