Municipal Transactions Time of Trade Disclosure

Municipal Transactions Time of Trade Disclosure

Pursuant to Rule MSRB Rule G-47, Time of Trade Disclosure, you may not sell a municipal security to a customer without disclosing to the customer, orally or in writing, at or prior to the time of trade, all material information known about the transaction, as well as material information about the security that is reasonably accessible to the market. The affirmation of your disclosure for each such transaction is required via an email response to trading@mutual.group.com.


    • Related Articles

    • Updated Disclosure Guidance

      Updated Disclosure Guidance INTERACTIVE ANALYSIS TOOLS (Ex: Hidden Levers or Riskalyze) Many interactive analysis tools utilize hypothetical or back-tested performance to provide a comparative analysis of a client or prospect’s existing portfolio ...

    • Block Trading Guidance

      Block Trading Guidance ADVISOR-INITIATED TRANSACTIONS VS CLIENT-INITIATED TRANSACTIONS Advisor-initiated transactions are those transactions that are a result of a decision made by the advisor on behalf of the client(s), such as a decision to buy or ...

    • Pre-Clearance of Personal Trading Guidance

      Pre-Clearance of Personal Trading Guidance WHAT IS THE CURRENT POLICY? Our current policy states that advisors must pre-clear any personal reportable securities transactions if the same security is being traded by clients on the same day, it is not ...

    • Testimonial Usage Guidance

      Testimonial Usage Guidance WHAT IS THE DIFFERENCE BETWEEN A TESTIMONIAL AND ENDORSEMENT? A testimonial is any statement by a current client advised by the investment adviser: · About the client or investor’s experience with the investment adviser or ...

    • Alternative Investment Risk Disclosure Form

      This form is to be completed and submitted for pre-approval of any alternative investment purchase (initial or subsequent) under Mutual Advisors, LLC. (NOTE: Alternative Investments are not eligible to be purchased or held under Mutual Securities, ...