40 Results Found
Regulatory Document
2006 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
Revised Series 51 Study Outline Filed with SEC
Regulatory Document
Notice of Filing of Proposed Rule Change Relating to RTRS Procedures, Under Rule G-14 Reports of Sales or Purchases
Regulatory Document
Reminder of Upcoming RTRS Changes: LOP/TD Indicator and Three-Hour Exception
Regulatory Document
Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention
Regulatory Document
Supervisory Procedures Relating to Indirect Contributions: Conference Accounts and 527 Organizations
Regulatory Document
Joint Statement of NASD and the Municipal Securities Rulemaking Board
Regulatory Document
Financial Statements-Fiscal Years Ended September 30, 2005 and 2004
Regulatory Document
MSRB Files Second Amendment to Interpretation on the Definition of Solicitation Under Rules G-37 and G-38 and Files Second Amendment to Interpretation on the Definition Of Solicitation Under Rules G-37 and G-38 and Files Withdrawal of Certain Rules G-37 and G-38 Question and Answer Guidance
Regulatory Document
MSRB Files Restated Articles of Incorporation and By-Laws with SEC
Regulatory Document
MSRB and TBMA to Hold Compliance Seminar on June 14, 2006 in Chicago, IL
Regulatory Document
Industry Preparations for Expiration of Three Hour Exception from Real-Time Transaction Reporting
Regulatory Document
SEC Approves Interpretive Notice on the Definition of Solicitation Under Rules G-37 and G-38 and Withdrawal of Q&A Guidance
Regulatory Document
SEC Approves Interpretive Notice on Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans
Regulatory Document
MSRB and TBMA to Hold Compliance Seminar on October 26, 2006
Regulatory Document
Amendments Approved to Rule G-14 RTRS Procedures Relating to "List Offering Price" and "Takedown" Transactions
Regulatory Document
Notice Concerning Changes to the Comparison Eligibility of Certain Inter-dealer Transactions: Rules G-12(f) and G-14
Regulatory Document
Notice Concerning Trades Effected on January 2, 2007 -- National Day of Mourning For Former President Gerald Ford
Regulatory Document
Amendment Filed to Rule A-6, on Committees of the Board
Regulatory Document
Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans
Regulatory Document
Request for Comments on Draft Amendments Relating to Rule G-21, on Advertising
Regulatory Document
The Definition of Solicitation Under Rules G-37 and G-38
