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
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
