38 Results Found
Regulatory Document
Notice Regarding Electronic Delivery and Receipt of Information by Brokers, Dealers and Municipal Securities Dealers
Regulatory Document
SEC approved amendments to the Board's continuing education rules
Regulatory Document
ERROR MESSAGES RELATED TO CUSTOMER TRANSACTION REPORTING
Regulatory Document
Requirements of Rule G-29, on Availability of Board Rules
Regulatory Document
Rule G-38 Questions and Answer Bank Affiliates and Definition of Payment
Regulatory Document
Securities and Exchange Commission approved the Board’s plan to institute Combined Daily Report
Regulatory Document
Press Release for Land-Secured Finance Steering Committee
Regulatory Document
Execution of Infrequent Unsolicited Orders
Regulatory Document
Notice regarding issuer selection of underwriters’ counsel
Regulatory Document
The Board has filed a further amendment to its previously filed proposed amendment to rule G-32
Regulatory Document
Amendment to Filing: Rule G-38 on Consultants
Regulatory Document
Public Reporting of Transactions in Municipal Securities: G-14
Regulatory Document
Notice Regarding Year 2000 System Issues
Regulatory Document
Clarification on Recent Amendment requiring Disclosure of Designation Information Pursuant to Rule G-11(g)(iii)
Regulatory Document
Notice Regarding Effectiveness of Commercial Paper Amendment to Rule G-36 and New Version of Form G-36 Manual
Regulatory Document
SEC has approved an amendment to rule G-32, on disclosures in connection with new issues, relating to inter-dealer dissemination of official statements and disclosure of initial offering prices to customers
Regulatory Document
SEC Approves Syndicate Practices Rule Amendments: Rules G-11, G-12 and G-8
Regulatory Document
Notice - Sample Transaction Reporting Data Available for Review
Regulatory Document
QUESTIONS & ANSWERS FOR MSRB TRANSACTION REPORTING PROGRAM
