Web30 oct. 2024 · The MSRB recently amended its customer complaint and related investor brochure rules (Rule G-10). Registered municipal dealers, broker-dealers, and municipal advisors (“municipal firms”) are now required to keep an electronic log of all written complaints from customers or municipal advisory clients and what action, if any, has … WebI managed and crafted filings with state, government, and local agencies, such as SEC, FINRA, MSRB, SOX, Blue-sky filings, and IRS. ... - Secured award for running Record …
43 CFR § 3170.7 - Required recordkeeping, records retention, and ...
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Record Retention / Minnesota Management and Budget (MMB)
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