23 Results Found
Regulatory Document
The Board has filed an amendment to rule G-23, on activities of financial advisors
Regulatory Document
The Board has filed proposed amendments to rule G-37, on political contributions and prohibitions on municipal securities business, rule G-8, on recordkeeping, and rule G-38, on consultants
Regulatory Document
MSRB Transaction Reporting Program Questions and Answers
Regulatory Document
The Board has filed revised Forms G-36(OS) and G-36(ARD) and an amendment to rule G-8(a)(xv), on recordkeeping. The revised Forms G-36(OS) and G-36(ARD) and amendment to rule G-8(a)(xv) become operative on January 1, 1998.
Regulatory Document
The Board has established a fee relating to the public dissemination on CD-ROM of quarterly Form G-37/G-38 filings
Regulatory Document
Proposed Change Filed to Establish a Fee Relating to the OS/ARD Subsystem
Regulatory Document
The Board has filed technical amendments to rule G-37, on political contributions and prohibitions on municipal securities business, rule G-38, on consultants, and G-8, on recordkeeping
Regulatory Document
The Board has filed proposed amendments to rule G-32, on disclosures in connection with new issues
Regulatory Document
Text of Proposed Rule Changes, Form G-36(OS) & Form G-36(ARD)
Regulatory Document
Additional Questions and Answers: Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business
Regulatory Document
Revised Effective Date Filed: Revised Series 53 Study Outline
Regulatory Document
Amendments Filed regarding Syndicate Practices: Rules G-11, G-12 and G-8
Regulatory Document
Operational Start Date for Customer Transaction Reporting
Regulatory Document
Prohibition on Municipal Securities Business Pursuant to Rule G-37
Regulatory Document
MSRB Transaction Reporting Program Questions and Answers (October 1997)