34 Results Found
Regulatory Document
Official Statement Deliveries Under Rules G-32 and G-36 and Exchange Act Rule 15c2-12
Regulatory Document
Board is requesting comments regarding the application of existing Board rules and certain draft rule changes relating to municipal fund securities: rules A-13, G-3, G-8, G-14, G-15, G-26 and G-34 and draft rule D-12
Regulatory Document
SEC Approves Amendment on Automated Confirmation/Acknowledgement: Rule G-15(d)(ii)
Regulatory Document
MSRB and NCSHA Announce Test Program for the Electronic Submission of Continuing Disclosure Information to the MSRB
Regulatory Document
Revised Test Specifications and Study Outline for the Series 52 Examination
Regulatory Document
Board Will Host Forums on Land-Secured Disclosure
Regulatory Document
Public Reporting of Individual Transactions in Frequently-Traded Municipal Securities
Regulatory Document
SEC Approves Amendment to Rule G-16, on Periodic Compliance Examination
Regulatory Document
Amendment to Rule G-36(c)(i) Filed with the Securities and Exchange Commission
Regulatory Document
Public Reporting of Inidividual Transactions in Frequently Traded Municipal Securities
Regulatory Document
Proposed Amendments Filed to Pending Amendments at the SEC: Rules G-38, G-37 and G-8
Regulatory Document
Comments Requested on Additional Requirements for Pending Amendments on Disclosure of Consultants’ Contributions
Regulatory Document
Notice Regarding the Application of Rule G-37 to Presidential Campaigns of Issuer Officials
Regulatory Document
Municipal Fund Securities - Revised Draft Rule Changes
Regulatory Document
Customer Transaction Reporting Reminder on Transactions with Issuers and New Error Codes
Regulatory Document
Amendment Filed to Rule G-16, on Periodic Compliance Examination
Regulatory Document
Amendment Filed to Rule G-11(g)(iii) Concerning the Disclosure of Designation Information to Syndicate Members
Regulatory Document
Amendments Approved 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: Rules G-38, G-37 and G-8
Regulatory Document
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.
Regulatory Document
Proposed Amendment to Previously Filed Amendments to Rule G-23, on Activities of Financial Advisors
Regulatory Document
Press Release for Health Care Financing Steering Committee
Regulatory Document
Release Regarding the Land-Secured Financing Steering Committee
Regulatory Document
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
