*Letters

Disclosure for Municipal Bond Sales in the Secondary Market

Published on:
September 12, 2011
Committee:

SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on FINRA’s request for comment on frequently asked questions (FAQs) related to FINRA Regulatory Notice 10-41, FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market.  In September 2010, FINRA released Regulatory Notice 10-41, advising Dealers that in meeting their disclosure, suitability and pricing obligations under MSRB Rules G-17, G-19, and G-30. SIFMA requests that FINRA give strong consideration to issuance of the recommended FAQs.

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