3 Results Found
Regulatory Document
MSRB Discussion Paper on Disclsoure in the Municipal Securities Market
… MSRB Discussion Paper on Disclsoure in the Municipal Securities Market MSRB Notice 2000-35 … the investor base and unique trading patterns. There are over 80,000 governmental units that may issue municipal securities. [1] These issuers include not only states and local … disclosures designed for the secondary market. As discussed below, this began to change in 1995 with the adoption of the continuing disclosure amendments to Exchange Act Rule 15c2-12 …
Regulatory Document
Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions
… Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions MSRB Notice 2000-30 September 28, 2000 The Municipal Securities Rulemaking Board (“MSRB”) is … on the draft interpretive guidance should be submitted no later than December 1, 2000, and may be directed to Carolyn Walsh, Assistant General Counsel, or Ernesto A. Lanza, Associate …
Regulatory Document
Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission
… Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission MSRB Notice 2000-15 April 05, 2000 The Municipal Securities Rulemaking Board has filed with the … with new issues, and rule G-34, on CUSIP numbers and new issue requirements; and (iii) an MSRB interpretation relating to sales of municipal fund securities in the primary market. The … changes published on March 17, 1999 (the “March Notice”). [3] The MSRB received seven comment letters on the August Notice. After reviewing these comments, the MSRB approved the draft rule …
