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: Securities Law Prof Blog

FINRA Reminds Municipal Securities Dealers of Sales Practices in Secondary Market

By Securites Lawprof

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FINRA, in coordination with the Municipal Securities Rulemaking Board (MSRB), today issued a Regulatory Notice reminding municipal securities dealers of their sales practice, due diligence and fair pricing obligations when selling municipal securities in the secondary market. In particular, the...

Full post as published by Securities Law Prof Blog on September 20, 2010 (boomark / email).

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