MSRB RULE D-15 Goes Into Effect
Effective March 21, 2016 the MSRB will require that Dealers confirm that their institutional clients are “sophisticated” muni-market professionals (SMMPs), needing less regulatory protection than retail investors. Regardless of their status, there’s an easy way to keep all of your investors well-informed.
DPC DATA provides a best practice solution for “time-of-trade” disclosure at the point of sale. The full suite of DPC DATA services provide available “material information” to help determine if a Bond is suitable for your customer. Deal Summaries, Disclosure Documents and News Stories are linked to the appropriate CUSIP, Obligor and Issuer.