65 Results Found
Regulatory Document
2005 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2005-SEC-Filings-0
Regulatory Document
Request for Comments on Revised Draft Amendments Relating to Official Statement Delivery Requirements Under Rule G-32, Rule G-36 and Rule G-11
/Request-Comments-Revised-Draft-Amendments-Relating-Official-Statement-Delivery-Requirements-Under
Regulatory Document
Request for Comments on Draft Amendments to Rule G-37(c), Relating to Prohibiting Solicitation and Coordination of Payments to Political Parties, and Draft Question and Answer Guidance Concerning Indirect Rule Violations
/Request-Comments-Draft-Amendments-Rule-G-37c-Relating-Prohibiting-Solicitation-and-Coordination
Regulatory Document
Notice on Comparison of Inter-Dealer Deliveries that Do Not Represent Inter-Dealer Transactions - "Step Out" Deliveries: Rules G-12(f) and G-14
/Notice-Comparison-Inter-Dealer-Deliveries-Do-Not-Represent-Inter-Dealer-Transactions-Step-Out
Regulatory Document
New Rule G-38, on Solicitation of Municipal Securities Business, and New Forms G-37, G-37x and G-38t Become Effective
/New-Rule-G-38-Solicitation-Municipal-Securities-Business-and-New-Forms-G-37-G-37x-and-G-38t-Become
Regulatory Document
Disclosure Of Material Facts--Disclosure Of Original Issue Discount Bonds
/Disclosure-Material-Facts-Disclosure-Original-Issue-Discount-Bonds
Regulatory Document
Reminder Regarding Modification and Cancellation of Transaction Reports: Rule G-14
/Reminder-Regarding-Modification-and-Cancellation-Transaction-Reports-Rule-G-14
Regulatory Document
Comparison of Inter-Dealer Deliveries That Do Not Represent Inter-Dealer Transactions—”Step Out" Deliveries: Rules G-12(f) and G-14
/Comparison-Inter-Dealer-Deliveries-Do-Not-Represent-Inter-Dealer-Transactions-Step-Out-Deliveries
Regulatory Document
Technical Amendment to Rule A-8(a), on Adoption of Proposed Rules and Submission to Commission
/Technical-Amendment-Rule-A-8a-Adoption-Proposed-Rules-and-Submission-Commission
Regulatory Document
Reminder: All Dealers Must Review Their Form G-40 Information, On E-Mail Contacts, By October 26, 2005
/Reminder-All-Dealers-Must-Review-Their-Form-G-40-Information-E-Mail-Contacts-October-26-2005
Regulatory Document
SEC Approves Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Books and Records
/SEC-Approves-Amendments-Rule-G-20-Gifts-and-Gratuities-and-Rule-G-8-Books-and-Records
Regulatory Document
Reminder: New Forms G-37 and G-38t To Be Used in Connection with Submissions Under Rules G-37 and G-38 For Calendar Quarter Ended September 30, 2005
/Reminder-New-Forms-G-37-and-G-38t-Be-Used-Connection-Submissions-Under-Rules-G-37-and-G-38-Calendar
Regulatory Document
Procedure for Documenting RTRS and Dealer System Outages
/Procedure-Documenting-RTRS-and-Dealer-System-Outages
Regulatory Document
Reminder: New Requirements Relating to Performance Data in Advertisements of 529 College Savings Plans and Other Municipal Funds Securities Become Effective on December 1, 2005
/Reminder-New-Requirements-Relating-Performance-Data-Advertisements-529-College-Savings-Plans-and
Regulatory Document
MSRB Files Amendment with SEC Relating to Previously Filed Interpretive Notice on the Definition of Solicitation Under Rules G-37 and Rule G-38
/MSRB-Files-Amendment-SEC-Relating-Previously-Filed-Interpretive-Notice-Definition-Solicitation
Regulatory Document
Notice of Filing of Proposed Rule Change Relating to RTRS Procedures, Under Rule G-14 Reports of Sales or Purchases
/Notice-Filing-Proposed-Rule-Change-Relating-RTRS-Procedures-Under-Rule-G-14-Reports-Sales-or
Regulatory Document
Amendments to Rules A-3(f) and A-6(c), on Board Member Compensation
/Amendments-Rules-A-3f-and-A-6c-Board-Member-Compensation
Regulatory Document
SEC Approves Proposed Rule Change to MSRB Rule G-14 RTRS Procedures, Paragraph (a)(ii)(C) To Extend the Expiration Date of the Three-Hour Exception
/SEC-Approves-Proposed-Rule-Change-MSRB-Rule-G-14-RTRS-Procedures-Paragraph-aiiC-Extend-Expiration
Regulatory Document
Amendments Approved to Rule G-34 to Facilitate Real-Time Transaction Reporting
/Amendments-Approved-Rule-G-34-Facilitate-Real-Time-Transaction-Reporting
Regulatory Document
Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Recordkeeping
/Notice-Filing-Proposed-Rule-Change-Relating-Amendments-Rule-G-20-Gifts-and-Gratuities-and-Rule-G-8
Regulatory Document
Questions and Answers Regarding the Real-Time Transaction Reporting System (RTRS): Trade Submission, Error Feedback, RTRS Web, and Contacting the MSRB by Phone
/Questions-and-Answers-Regarding-Real-Time-Transaction-Reporting-System-RTRS-Trade-Submission-Error
Regulatory Document
A First for Investors: Real-Time Muni Bond Prices MSRB and BMA Partner to Make New Trading Data Available for Free
/A-First-Investors-Real-Time-Muni-Bond-Prices-MSRB-and-BMA-Partner-Make-New-Trading-Data-Available
Regulatory Document
MSRB and TBMA to Hold Compliance Seminar on May 25, 2005 in Chicago, IL
/MSRB-and-TBMA-Hold-Compliance-Seminar-May-25-2005-Chicago-IL
Regulatory Document
RTRS Web Educational Conference Calls
/RTRS-Web-Educational-Conference-Calls
Regulatory Document
Reminder Regarding Modification and Cancellation Of Transaction Reports: Rule G-14
/Reminder-Regarding-Modification-and-Cancellation-Transaction-Reports-Rule-G-14-0
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