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MSRB Glossary of Terms
A-1 Rules of the Board A-2 Powers of the Board A-3 Membership on the Board A-4 Meetings of the Board A-5 Officers and employees of the Board A-6 Committees of the Board A-7 Assessments A-8 Rulemaking procedures A-9 Fiscal year A-10 Independent audit A-11 **Reserved** A-12 Initial fee A-13 Underwriting and transaction assessments for brokers, dealers and municipal securities dealers A-14 Annual fee A-15 Notification to Board of termination of municipal securities activities and change of name or address A-16 **Reserved** A-17 Confidentiality of examination reports
A-1 Rules of the Board
A-2 Powers of the Board
A-3 Membership on the Board
A-4 Meetings of the Board
A-5 Officers and employees of the Board
A-6 Committees of the Board
A-7 Assessments
A-8 Rulemaking procedures
A-9 Fiscal year
A-10 Independent audit
A-11 **Reserved**
A-12 Initial fee
A-13 Underwriting and transaction assessments for brokers, dealers and municipal securities dealers
A-14 Annual fee
A-15 Notification to Board of termination of municipal securities activities and change of name or address
A-16 **Reserved**
A-17 Confidentiality of examination reports
D-1 General D-2 "Act" D-3 "Commission" D-4 "Board" D-5 "Member" D-6 "Whole Board" D-7 "Proposed rules and rules of the Board" D-8 "Bank dealer" D-9 "Customer" D-10 "Discretionary account" D-11 "Associated persons" D-12 "Municipal fund security"
D-1 General
D-2 "Act"
D-3 "Commission"
D-4 "Board"
D-5 "Member"
D-6 "Whole Board"
D-7 "Proposed rules and rules of the Board"
D-8 "Bank dealer"
D-9 "Customer"
D-10 "Discretionary account"
D-11 "Associated persons"
D-12 "Municipal fund security"
G-1 Separately identifiable department or division of a bank G-2 Standards of professional qualification G-3 Classification of principals and representatives; numerical requirements; testing; continuing education requirements G-4 Statutory disqualifications G-5 Disciplinary actions by appropriate regulatory agencies; remedial notices by registered securities associations G-6 Fidelity bonding requirements G-7 Information concerning associated persons G-8 Books and records to be made by brokers, dealers and municipal securities dealers G-9 Preservation of records G-10 Delivery of investor brochure G-11 New Issue Syndicate Practices G-12 Uniform practice G-13 Quotations relating to municipal securities G-14 Reports of sales or purchases G-15 Confirmation, clearance, settlement and other uniform practice requirements with respect to transactions with customers G-16 Periodic compliance examination G-17 Conduct of municipal securities activities G-18 Execution of transactions G-19 Suitability of recommendations and transactions; discretionary accounts G-20 Gifts, gratuities and non-cash compensation G-21 Advertising G-22 Control relationships G-23 Activities of financial advisors G-24 Use of ownership information obtained in fiduciary or agency capacity G-25 Improper use of assets G-26 Customer account transfers G-27 Supervision G-28 Transactions with employees and partners of other municipal securities professionals G-29 Availability of Board rules G-30 Prices and commissions G-31 Reciprocal dealings with municipal securities investment companies G-32 Disclosures in connection with new issues G-33 Calculations G-34 CUSIP numbers and new issue requirements G-35 Arbitration G-36 Delivery of official statements, advance refunding documents and Forms G-36(OS) and G-36(ARD) to Board or its designee G-37 Political contributions and prohibitions on municipal securities business G-38 Solicitation of municipal securities business G-39 Telemarketing G-40 Electronic mail contacts G-41 Anti-money laundering compliance program
G-1 Separately identifiable department or division of a bank
G-2 Standards of professional qualification
G-3 Classification of principals and representatives; numerical requirements; testing; continuing education requirements
G-4 Statutory disqualifications
G-5 Disciplinary actions by appropriate regulatory agencies; remedial notices by registered securities associations
G-6 Fidelity bonding requirements
G-7 Information concerning associated persons
G-8 Books and records to be made by brokers, dealers and municipal securities dealers
G-9 Preservation of records
G-10 Delivery of investor brochure
G-11 New Issue Syndicate Practices
G-12 Uniform practice
G-13 Quotations relating to municipal securities
G-14 Reports of sales or purchases
G-15 Confirmation, clearance, settlement and other uniform practice requirements with respect to transactions with customers
G-16 Periodic compliance examination
G-17 Conduct of municipal securities activities
G-18 Execution of transactions
G-19 Suitability of recommendations and transactions; discretionary accounts
G-20 Gifts, gratuities and non-cash compensation
G-21 Advertising
G-22 Control relationships
G-23 Activities of financial advisors
G-24 Use of ownership information obtained in fiduciary or agency capacity
G-25 Improper use of assets
G-26 Customer account transfers
G-27 Supervision
G-28 Transactions with employees and partners of other municipal securities professionals
G-29 Availability of Board rules
G-30 Prices and commissions
G-31 Reciprocal dealings with municipal securities investment companies
G-32 Disclosures in connection with new issues
G-33 Calculations
G-34 CUSIP numbers and new issue requirements
G-35 Arbitration
G-36 Delivery of official statements, advance refunding documents and Forms G-36(OS) and G-36(ARD) to Board or its designee
G-37 Political contributions and prohibitions on municipal securities business
G-38 Solicitation of municipal securities business
G-40 Electronic mail contacts
G-41 Anti-money laundering compliance program
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