Also In This Issue
Regarding the Reporting of
Consultants’ Names and Roles
and Retention of Correspondence with
Revisions to Board Fee Assessments
Periodic Compliance Examination
Board Elects Estrada Chairman
The Board has elected its Chairman, Mr. Robert A. Estrada, for its 2000 fiscal year. Mr. Estrada began his term as Chairman on October 1, 1999.
Mr. Estrada, an attorney at law, is Chairman and CEO of Estrada Hinojosa & Company, Inc., a Dallas, Texas, investment banking firm he founded in 1990. He started his firm following his serving at the White House as Special Assistant to President George Bush. Prior to that, Mr. Estrada practiced law as a bond lawyer in Texas. Mr. Estrada received his J.D. and B.S. degrees from the University of Texas at Austin.
In This Issue
Service Approved: Rule G-14
The Securities and Exchange Commission has approved a service to provide a daily public report concerning information on individual transactions in frequently traded municipal securities. To obtain a subscription to the new report service, it will be necessary to sign a subscription agreement, but there will be no fee.
The Board has released certain statistical information on transaction patterns in the municipal securities market.
Amendment Filed: Rule G-36
The Board has filed an amendment to rule G-36(c)(i) relating to official statements prepared in connection with most primary offerings exempt from Exchange Act Rule 15c2-12.
Amendments Approved: Rules G-38, G-37 and G-8
The amendments require dealers to obtain from their consultants information on the consultants’ political contributions and payments to state and local political parties and to report such information to the Board on Form G-37/G-38.
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