Notice:December 29, 1999
The Securities and Exchange Commission has approved a service to provide a daily public report containing information on individual transactions in frequently traded securities. To obtain a subscription to the new service, it will be necessary to sign a subscription agreement, but there will be no fee.
Notice:December 9, 1999
The Securities and Exchange Commission has approved amendments to rules G-38, G-37 and G-8 requiring dealers to obtain from their consultants information on political contributions and payments to political parties and for dealers to report such information to the Board. The amendments will become effective on April 1, 2000.
Notice:December 9, 1999
Notice: October 20, 1999
Notice: September 10, 1999
Notice: September 3, 1999
The Board plans to offer a new Daily Transaction Report, containing detailed information on individual transactions in frequently traded municipal securities reported to the Board by dealers under Board rule G-14.
Notice:August 27, 1999
Notice:August 26, 1999
Notice:August 13, 1999
The Board has filed with the SEC an amendment to rule G-16, on periodic compliance examination. Rule G-16 sets forth the timing of examinations of dealers for compliance with Board rules. The proposed amendment revises the 24-month examination requirement in rule G-16 to a two calendar year requirement.
Notice:July 15, 1999
The Board is publishing a notice regarding data derived from Forms G-36(OS) received by the Board in 1998. The notice discusses the timeliness of issuer deliveries of official statements to underwriters and of dealer deliveries to customers and the Board. In addition, the notice requests comments on a draft amendment to rule G-36(c)(i) and on possible alternatives to the current system of dealer dissemination of official statements. Comments are due by September 30, 1999.
Notice:July 15, 1999
Notice:June 9, 1999
The Board has filed with the Securities and Exchange Commission a proposed rule change to revise the test specifications and the study outline for the Board's Municipal Securities Representative Qualification Examination
Notice:May 28, 1999
The Board has filed with 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. The technical amendments become operative on July 1, 1999.
Notice:May 20, 1999
Today the MSRB and the National Council of State Housing Agencies are announcing the implementation of a test program for the electronic submission and dissemination of continuing disclosure information, including quarterly financial information.
Amendment Approved:May 10, 1999
On May 7, 1999, the Securities and Exchange Commission approved an amendment to rule G-15(d)(ii) that allows dealers to comply with the rule by using the services of "qualified vendors" for confirmation/acknowledgment of DVP/RVP customer transactions.
Amendment Approved:April 30, 1999
Notice:April 22, 1999
Notice:April 20, 1999
Notice:April 19, 1999
The Board is publishing a notice requesting comment on draft amendments to the proposals pending at the Securities and Exchange Commission concerning the disclosure of consultants' contributions pursuant to rule G-38, on consultants. Comments on the draft amendments should be submitted to the Board no later than May 28, 1999.
Notice: April 15, 1999
Notice: March 31, 1999
Notice: March 23, 1999
The Board has released a notice regarding the application of rule G-37 to Presidential campaigns of issuer officials. The notice was published in response to a number of inquiries received by the Board in recent weeks.
Notice: March 17, 1999
Notice: March 11, 1999
Notice: March 4, 1999
The Board is publishing a fourth Question and Answer notice on rule G-38, on consultants, to address the application of rule G-38 to instances in which dealers have entered into agreements to jointly seek underwriting assignments.
Notice: February 9, 1999
The SEC has approved amendments to exempt certain dealers from disclosure and recordkeeping requirements relating to political contributions and municipal securities business - Rules G-37, G-8, G-9 and G-38.
Press Release: January 29, 1999
Notice: January 29, 1999
Press Release: January 25, 1999
Notice: January 14, 1999
The Board has filed with the Securities and Exchange Commission a proposed amendment to previously filed amendments to rule G-23, on activities of financial advisors. The proposed amendments to rule G-23 concern financial advisors who wish to act as remarketing agents for issues on which they advised the issuer.