46 Results Found
Regulatory Document
2007 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
Request for Comment on Proposed Rule Changes to Improve Transaction Reporting of New Issue Municipal Securities
Regulatory Document
SEC Approves Amendments to Rule G-27 on Supervision, Rule G-8 on Recordkeeping, and Rule G-9 on Record Retention. The Amendments Become Effective November 26, 2007
Regulatory Document
Financial Statements - Fiscal Years Ended September 30, 2006 and 2005
Regulatory Document
MSRB Files Amendment to Rule Filing Relating to Advertisements of Municipal Fund Securities
Regulatory Document
Reminder Notice on Prohibited Payments to Non-Affiliated Persons for Solicitations of Municipal Securities Business Under Rule G-38 and Form G-38t Submission Requirements
Regulatory Document
Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System
Regulatory Document
Further Technical Amendment Filed to Rule A-3, on Membership on the Board
Regulatory Document
529 College Savings Plans Pending Advertisement Rule Filing and Improved Access to Plan Disclosure Materials
Regulatory Document
Recommendations Requested for Board Nominations
Regulatory Document
Reminder of Customer Protection Obligations in Connection with Sales of Municipal Securities
Regulatory Document
Dealer Payments In Connection With the Municipal Securities Issuance Process
Regulatory Document
General Advertising Disclosures, Blind Advertisements and Annual Reports Relating to Municipal Fund Securities Under Rule G-21
Regulatory Document
Reminder of Obligations Under Rule G-37 on Political Contributions and Rule G-27 on Supervision When Sponsoring Meetings and Conferences Involving Issuer Officials
Regulatory Document
Prohibited Payments to Non-Affiliated Persons for Solicitations of Municipal Securities Business Under Rule G-38 and Form G-38t Submission Requirements
Regulatory Document
Firm Element Advisory for Continuing Education is Available
Regulatory Document
Reminder Notice on Use of "List Offering Price/Takedown" Indicator: Rule G-14
Regulatory Document
Dealer Payments in Connection with the Municipal Securities Issuance Process
Regulatory Document
New RTRS Error Messages to Be Applied to "Other Tax-Exempt" Transactions: Rule G-14
Regulatory Document
Reminder of Obligations Under Rule G-37 on Political Contributions and Rule G-27 on Supervision When Sponsoring Meetings and Conferences Involving Issuer Officials
Regulatory Document
Amendment Filed to Rule A-3, on Membership on the Board
Regulatory Document
REMINDER: Disclosure Requirements Relating to Maximum Sales Load and Total Operating Expense Ratio in Performance Advertisements of Municipal Fund Securities have Become Effective
Regulatory Document
Reminder Notice on Use of "List Offering Price/Takedown" Indicator: RULE G-14
Regulatory Document
MSRB and SIFMA to Hold Compliance Seminar on May 3, 2007 in Chicago, IL
