.png?width=700&name=RG-008%20v2%20(2).png)
Firms are required to create written policies and procedures. This Guide provides a framework for the user to consider when writing a firm policy, procedure or WSP. This document includes suggested sections and considerations that may simplify the user's process of drafting these internal documents. Impacted Rules: FINRA 3110 | MSRB G-27 | IA Act Rule 206(4)-7
Prevailing Market Price (PMP) is a key concept of fixed income pricing and markup disclosure. This Training Guide includes consolidated information regarding these rules and assists firms in training the fundamental terminology of this concept. Impacted rules: FINRA 2121 | FINRA 2232 | MSRB G-30 | MSRB G-15
Modifiers are used to identify special trade conditions for TRACE eligible securities. This Quick Reference Guide provides a consolidated list of the TRACE modifiers for all products. The user can easily locate information on when to use these modifiers along with key definitions. Impacted rule(s): FINRA 6700 series.
Firms need to create a process to supervise new issue pricing for municipal underwritings. This Checklist allows firms to evidence supervision that underwriters have performed their due diligence regarding the fair pricing of the new issue deal. Impacted rules: MSRB G-17 | G-11 | G-27.
.png?width=700&name=RG-004%20v2%20(3).png)
Firms are required to take steps to ensure the price to the client on any transaction is fair and reasonable. This Guide assists the user in completing a thorough Compliance Review of a firm's Fair Pricing Program. The document provides the user with suggested actions as they complete and document their review process. Impacted Rules: FINRA 2121 | MSRB G-30
.png?width=700&name=RG-005%20v2%20(1).png)
Best Execution is an order handling standard requiring firms to take steps to obtain the most favorable price possible for a client. This Guide assists the user in completing a thorough Compliance Review of a firm's Best Execution Program. The document provides the user with suggested actions as they complete and document their review process. Impacted Rules: FINRA 5310 | MSRB G-18
.png?width=700&name=RG-006%20v2%20(4).png)
Compensation charged on a transaction should be reasonable in relation to market conditions. This Guide assists the user in completing a thorough Compliance Review of a firm's Reasonable Compensation Program. The document provides the user with suggested actions as they complete and document their review process. Impacted Rules: FINRA 2121 | MSRB G-30
Firms are required to send their clients trade confirmations and the information should be accurate and complete. These Checklists are designed to help complement firm’s trade confirmation review process by breaking down rule components by product and providing additional guidance when applicable. Individual Trade Confirmation Checklists are available for Exchange Traded Securities & OTC Equities, Options, Investment Companies, Taxable Debt, and Municipal Securities. Impacted rules SEA 10b-10 | FINRA 2232 | MSRB G-15. Not Available for purchase online. Click the button for more information.
Not seeing what you are looking for? Click the button to provide TRADEliance more information about a topic for a Resource Guide you would like to purchase, or to create a Customized Guide specific to your firm's needs.
