Guidance
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 ...
Professional Liability Renewal Information and FAQs
As is customary this time of year, we have renewed our Professional Liability and Cyber Security insurance policies (E&O policy), and this information is intended to provide each of you with an update surrounding this annual occurrence. While it ...
Hybrid Foreign Accounts Policy
Foreign Accounts Policy Mutual Securities, Inc. (“MSI”) is not registered as a broker-dealer outside of the United States (“U.S.”), Puerto Rico and the U.S. Virgin Islands; therefore, registered representatives (“RRs”) are prohibited from engaging ...