Time of Trade Disclosure and Related Rules – One Year Later
This paper written by Gregg Bienstock in May 2015 is a follow- up to the 2014 Municipal Time of Trade Disclosure article that discussed the new MSRB rules that received SEC approval in March of 2014. Please register below to download the full article.
This follow-on paper focuses on areas of interest and concern for compliance and legal professionals, senior management, regulators and other industry professionals. In addition to addressing aspects and nuances of the Time of Trade Suitability rules, it also incorporates a discussion on supervisory responsibilities (MSRB Rule G-27), the ever-increasing importance of documentation and other recent regulatory developments (SMMP designation) that can, or have, impacted the municipal market.