MSRB 1985 Reports
Volume 5, Number 1 (January 1985)
Page 3 Board Nominations
Page 9 Disclosures on New Issues Amendments Rule G-32 and G-8 and G-9
Page 11 G-12: Close out Procedures- Extensions for Bonds in Transfer
Page 13 Syndicate Manager Selling Short for Own Account to Detriment of Syndicate Account
Volume 5, Number 2 (February 1985)
Page 2 Publications Close Out Manual and Arbitration Pamphlets
Page 3 Tender Option Programs: The SEC sent the Board a letter
Page 5 G-3: The Board discusses municipal securities activities
Page 7 G-12: use of Post-Original Comparison Procedures of Registered Clearing Agencies
Page 9 G-12 & G-15: Specific Transactions-Determining Dealer or Customer
Page 11 G-12 & G-15: Delivery of Called Securities Amendment File
Page 13 A-12: Payment of Initial Fee
Page 15 G-3: Qualification of Municipal Securities Principals
Page 17 G-12: Letter of Interpretation: Automated Clearance
Volume 5, Number 3 (April 1985)
Page 3 G-32, G-8 and G-9: Disclosures in Connection with New Issues Amendment Filed
Page 7 Comments Requested – Development of Automated Systems
Page 11 G-19, G-26 & G-27: Suitability of Recommendations to Customers Amendments Filed
Page 15 G-12 & G-15: Comments requested: Processing of Interest Payment Claims
Page 17 G-12 & G-15: Amendments Filed Confirmation Requirements for Original issue Discount Securities
Page 19 G-12 Attachment of Interest Payment Check to Delivery of Securities Made after Record Date
Page 21 G-15 & G-17: Altering the Settlement Date on Transaction in “When-Issued” Securities
Page 23 G-35 Arbitration: Amendment Filed
Page 25 G-12 & G-15: Letters of Interpretation
Volume 5, Number 4 (June 1985)
Page 3 A-13: Amendment Filed Underwriting Assessment fee Rate
Page 5 G-11: Syndicate Practices – A Review Comments Requested
Page 7 G-12: Use of Post-Original Comparison Procedures of Registered Clearing Agencies
Page 9 G-34: CUSIP Number Assignments –Amendments Filed
Page 13 G-12 & G-15 Amendments Approved: Confirmation Requirement for Original Discount Securities
Page 15 G-12: Amendment Approved
Page 17 Transfer Efficiency and Selection of Record Dates on Registered Securities
Page 19 G-12 & G-15: Delivery of Called Securities Amendment Approved
Page 21 G-19, G-26, G-27: Suitability of Recommendations, Amendment Approved
Page 25 G-3: Qualification of Municipal Securities Principals, Amendment Approved
Page 27 A-12: Payment of Initial Fee, Amendment Approved
Page 29 G-8,G-9,G-10,G-27: Supervisory Responsibility Amendments Filed
Volume 5, Number 5 (August 1985)
Page 3 G-32, G-8, G-9: Disclosures in Connection with New Issues Amendments Approved
Page 7 G-12: Settlement Dates for Transactions Amendments Filed
Page 9 G-34: CUSIP Number Assignment
Page 13 G-12 & G-15: Processing of Interest Payment Claims, Amendments Filed
Page 17 G-17: Syndicate Managers – Designated Sales Fees, Interpretation
Page 19 G-8, G-9,G-10, G-27: Supervisory Responsibility Amendments Approved
Page 21 G-12 & G-15: Delivery Tickets – Requirements Conformed
Volume 5, Number 6 (November 1985)
Page 5 G-11: Syndicate Practices, Comments Requested
Page 9 G-12, G-15: Amendments Approved
Page 13 G-34: The Board Proposes rule change which would require underwriters
Page 15 G-15: Sending Confirmations to Customers Who Utilize Dealers to Tender Put Option Bonds
Page 17 G-12, G-15, G-17, & G-30: Application of Board Rules to Put Option Bonds
Page 3 Board Nominations
Page 9 Disclosures on New Issues Amendments Rule G-32 and G-8 and G-9
Page 11 G-12: Close out Procedures- Extensions for Bonds in Transfer
Page 13 Syndicate Manager Selling Short for Own Account to Detriment of Syndicate Account
Volume 5, Number 2 (February 1985)
Page 2 Publications Close Out Manual and Arbitration Pamphlets
Page 3 Tender Option Programs: The SEC sent the Board a letter
Page 5 G-3: The Board discusses municipal securities activities
Page 7 G-12: use of Post-Original Comparison Procedures of Registered Clearing Agencies
Page 9 G-12 & G-15: Specific Transactions-Determining Dealer or Customer
Page 11 G-12 & G-15: Delivery of Called Securities Amendment File
Page 13 A-12: Payment of Initial Fee
Page 15 G-3: Qualification of Municipal Securities Principals
Page 17 G-12: Letter of Interpretation: Automated Clearance
Volume 5, Number 3 (April 1985)
Page 3 G-32, G-8 and G-9: Disclosures in Connection with New Issues Amendment Filed
Page 7 Comments Requested – Development of Automated Systems
Page 11 G-19, G-26 & G-27: Suitability of Recommendations to Customers Amendments Filed
Page 15 G-12 & G-15: Comments requested: Processing of Interest Payment Claims
Page 17 G-12 & G-15: Amendments Filed Confirmation Requirements for Original issue Discount Securities
Page 19 G-12 Attachment of Interest Payment Check to Delivery of Securities Made after Record Date
Page 21 G-15 & G-17: Altering the Settlement Date on Transaction in “When-Issued” Securities
Page 23 G-35 Arbitration: Amendment Filed
Page 25 G-12 & G-15: Letters of Interpretation
Volume 5, Number 4 (June 1985)
Page 3 A-13: Amendment Filed Underwriting Assessment fee Rate
Page 5 G-11: Syndicate Practices – A Review Comments Requested
Page 7 G-12: Use of Post-Original Comparison Procedures of Registered Clearing Agencies
Page 9 G-34: CUSIP Number Assignments –Amendments Filed
Page 13 G-12 & G-15 Amendments Approved: Confirmation Requirement for Original Discount Securities
Page 15 G-12: Amendment Approved
Page 17 Transfer Efficiency and Selection of Record Dates on Registered Securities
Page 19 G-12 & G-15: Delivery of Called Securities Amendment Approved
Page 21 G-19, G-26, G-27: Suitability of Recommendations, Amendment Approved
Page 25 G-3: Qualification of Municipal Securities Principals, Amendment Approved
Page 27 A-12: Payment of Initial Fee, Amendment Approved
Page 29 G-8,G-9,G-10,G-27: Supervisory Responsibility Amendments Filed
Volume 5, Number 5 (August 1985)
Page 3 G-32, G-8, G-9: Disclosures in Connection with New Issues Amendments Approved
Page 7 G-12: Settlement Dates for Transactions Amendments Filed
Page 9 G-34: CUSIP Number Assignment
Page 13 G-12 & G-15: Processing of Interest Payment Claims, Amendments Filed
Page 17 G-17: Syndicate Managers – Designated Sales Fees, Interpretation
Page 19 G-8, G-9,G-10, G-27: Supervisory Responsibility Amendments Approved
Page 21 G-12 & G-15: Delivery Tickets – Requirements Conformed
Volume 5, Number 6 (November 1985)
Page 5 G-11: Syndicate Practices, Comments Requested
Page 9 G-12, G-15: Amendments Approved
Page 13 G-34: The Board Proposes rule change which would require underwriters
Page 15 G-15: Sending Confirmations to Customers Who Utilize Dealers to Tender Put Option Bonds
Page 17 G-12, G-15, G-17, & G-30: Application of Board Rules to Put Option Bonds
