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Notice of Approval

Technical Amendments Adopted
Route To:
  • Manager, Muni Department
Amendments Approved

The Board has adopted a series of technical amendments to various rules that became operative on July 1, 1999.

Questions about the amendments may be directed to Ernesto A. Lanza, Associate General Counsel.

On May 28, 1999, the Board filed with the Securities and Exchange Commission (the "SEC") a series of technical amendments to rules A-3, A-5, A-7, A-11 through A-15, A-17, D-5, G-1 through G-3, G-5 through G-9, G-11 through G-16, G-18, G-20, G-23, G-27, G-28, G-32, G-34, G-36, G-37 and G-39.1 The technical amendments became operative on July 1, 1999.

The Board adopted the technical amendments for the purpose of making certain non-substantive changes to the affected rules. These changes were designed to:

ensure uniform usage of the term "brokers, dealers and municipal securities dealers" throughout all Board rules;

eliminate the usage of the term "municipal securities business" in rules other than rules G-37 and G-38;

make certain grammatical corrections;

make all rule language gender neutral;

correct certain cross-references to other Board rules, SEC rules or federal statutes;

ensure uniform references to sections and paragraphs within Board rules; and

eliminate duplicative, superfluous or obsolete rule language.

July 1, 1999


1. On May 28, 1999, the Board posted a notice on its web site ( about the filing of the amendments. This notice contains the amended rule language.

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