MSRB 1984 Reports

Volume 4, Number 1 (February 1984)

Page 3  Board Nomination
Page 9  G-11: Disclosure of Syndicate Expenses
Page 11  G-12: Amendment approved on Delivery of Registered Securities in Default
Page 13  G-15: Amendment Filed on Transactions in Zero Coupon, Compound Interest and Multiplier Securities
Page 15  Application of Board Rules – Trades in Misdescribed or Non-Existent Securities 
Page 17  G-12: Delivery of Securities with Multilated Coupons
Page 17  G-12 and G-15: Confirmation Disclosure of Advance Refunded Securities
Page 17  G- 15: Call Feature Disclosure on Confirmation of Transactions in Coupon Bonds and Similar Securities
Page 19  Financial Statements


Volume, 4, Number 2 (March 1984)

Page 3  G-8, G-9 & G-32: Comments requested on Draft Amendments Pertaining to Disclosures on New Issues and Record Keeping
Page 7  G-12: Amendments Filed on Reclamation of Inter-Dealer Deliveries
Page 11  G-12: Amendments Filed on Inter-Dealer Deliveries of Book Entry Form Securities
Page 13  G-12 & G-15: Amendments Filed on Automated Clearance of Transactions
Page 17  G-15: Amendments Filed on Standards of Delivery to Customers
Page 21  G-17: Use of Lotteries to Allocate Partial Calls of Securities Held in Safekeeping
Page 23  G-13, G-17 & G-30: Transactions in Municipal Securities Subject to Secondary Market Insurance or Other Credit Enhancement Features
Page 25  G-12: Close-Out Procedures: Transactions Introducing Broker
Page 26  G-12 and G-15 Callable Securities: Transactions In Construction Loan Notes


Volume 4, Number 3 (May 1984)

Page 2  New Rules Publication
Page 3  G-12: Amendments Approved on CUSIP Number Discrepancies
Page 5  G-12: Amendments Approved on Zero Coupon, Compound Interest, And Multiplier Securities
Page 11  G-35 & A-16: Amendments Filed on Arbitration
Page 15  CUSIP Numbering System Board Letters to CUSIP
Page 19  Immobilization of Securities: Board and DTC Correspondents
Page 21  G-15: Callable Securities: Pricing to Call and Extraordinary Mandatory Redemption Features


Volume 4, Number 4 (June 1984)

Page 3  G-5: Amendment Filed on Remedial Notices by Registered Securities Associations
Page 9  G-8 & G-15: Comments Requested on Draft Amendments Concerning Required Representations on Customer Delivery of Securities in Sale Transactions
Page 11  G-8, G-9, G-32: Comments requested on Revised Draft Amendments Pertaining to Disclosures on New Issues and Record Keeping
Page 15  G-12:  Amendments Approved on Inter-Dealer Deliveries of Book-Entry Form Securities
Page 17   G-12 & G-15: Amendments Concerning Application of Automated Clearance Requirements to Indirect Participants
Page 19  G-12 & G-15: Amendments Filed on Temporary Exemption of Project Notes Automated Clearance Requirements
Page 21  G-15:  Amendments Approved on Standards of Delivery to Customers
Page 25  G-33: Notice on Recently Effective Changes in Calculations File
Page 27  G-34: Comments Requested on Draft Amendments Requiring CUSIP Number Reassignment on Issues Subject to Advance Refunding Or Secondary Market Enhancement
Page 29  G-17: Transactions in Stripped Coupons
Page 29  G-23: Issuer Consent to Financial Advisor Participation in Underwriting


Volume 4, Number 5 (August 1984)

Page 2  Five New Board Members
Page 3  G-12: Amendments Approved on Reclamation of Inter-Dealer Deliveries
Page 7  G-12 & G-15: Amendments Approved on Temporary Exemption Of  Project Notes from  Automated Clearance Requirements
Page 9  G-12 & G-15: Interpretive Notice Concerning Automated Clearance Rules
Page 11  G-15 Effective Date Delayed for Amendment  Concerning Confirmation Disclosures on Zero Coupon, Compound Interest, and Multiplier Securities
Page 13  G-35 & A-16: Amendments Approved on Arbitration
Page 17  Board Comment Letter to CFTC Chicago Board of Trade’s Proposed Future Contract
Page 21  Letter of Interpretation: G-15 Yield Disclosure on Agency Transactions


Volume 4, Number 6 (November 1984)

Page 2  Examination Schedule Temporarily Changed
Page 5  Disclosure on New Issues: G-32, G-8, G-9 (Official Statements and Records)
Page 7  Deliveries of Registered Securities: Attachment of payment checks, G-12
Page 9  Early Warning Notice: G-5 to authorize NASD to require a municipal securities dealer which is an NASD member to take remedial actions
Page 11  Report on Pricing: Republication of 1980 Guidelines – determine Fairness of pricing
Page 15  Close-out procedures: Extensions for Bonds in Transfer- Amendment Filed G-12
Page 17  Customer Delivery of Securities of in Sales Transactions G-15 and G-8 Notice of Withdrawl Draft Amendments no adopted but Establishment of internal procedures recommended
Page 19  Letter of Interpretation G-12 & G-15 Confirmation Disclosure: Tender Option Bonds with Adjustable Tender Fees
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