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Effective Date: MSRB Rule G-10/Client Brochure & Complaint Log
Friday, October 13, 2017, 8:00 AM PDT
Category: Events

MSRB Rule G-10 goes into effect on October 13. MAs must have procedures in place to deliver a brochure to their clients (may be done electronically) about the MA's SEC and MSRB registration status and a link to the MSRB web site that provides information on how to file a complaint.  MA Firms must also develop an electronic log for complaints received. Click HERE for the G-10 Approval Notice.