The final letter focused on the following items:
- MSRB Should More Clearly Identify What Constitutes a Hold Recommendation
- Proposed Rule G-19 Should Include an Exception for an SMMP Similar to FINRA’s Exception for Institutional Investor Accounts under FINRA Suitability Rule 2111
- Supplementary Material for Proposed Rule G-19 Should be Updated
View the full letter [here.]
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