68 Results Found
Regulatory Document
2011 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
Reminder of Upcoming Effective Date of Revised MSRB Rule G-23 Concerning the Activities of Financial Advisors
Regulatory Document
MSRB to Provide Written Verification of Municipal Advisor and Dealer Registration Status
Regulatory Document
MSRB Files Proposal to Establish Interim Municipal Advisor Assessment and Seeks Comment on Draft Municipal Advisor Survey
Regulatory Document
MSRB Files Revised Series 51 Study Outline
Regulatory Document
MSRB Expresses Concern Regarding Activities of Unregistered Municipal Advisors
Regulatory Document
Rule G-34(c) ARS and VRDO Data Element Clarification and Reminder of Timeliness and Accuracy Requirement
Regulatory Document
MSRB Files Proposed Rule Change with SEC to Extend the Effective Date of Amendments to EMMA to Provide Credit Ratings and Related Information for Municipal Securities on EMMA
Regulatory Document
SEC Approves MSRB Proposal Regarding Board Composition; Changes Filed to Articles of Incorporation
Regulatory Document
SEC Approves Amendments to MSRB Rule G-16 to Facilitate Risk-Based Compliance Examinations and Amendments to MSRB Rule G-9, on Preservation of Records
Regulatory Document
Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
Regulatory Document
Request for Comment on Draft Amendments to MSRB Rule G-21 (on Advertising) and Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 (on Fair Dealing) to Certain Communications
Regulatory Document
Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34)
Regulatory Document
MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal Entities on Behalf of Others
Regulatory Document
Potential Applicability of MSRB Rules to Certain “Direct Purchases” and “Bank Loans”
Regulatory Document
MSRB Files with the SEC Rule Changes to Establish Term and Composition of Next Board Class
Regulatory Document
Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors
Regulatory Document
Amendments to Rules G-8 and G-34 to Increase Transparency of Municipal Variable Rate Securities Effective May 16, 2011
Regulatory Document
Fee Change for Historical Transaction Data Product
Regulatory Document
MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
Regulatory Document
Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials
Regulatory Document
Guidance on the Prohibition on Underwriting Issues of Municipal Securities for Which a Financial Advisory Relationship Exists Under Rule G-23
Regulatory Document
MSRB to Host Outreach Seminar in Austin, Texas
Regulatory Document
MSRB Announces Gateway Registration and Account Management Webinars
Regulatory Document
MSRB Announces Primary Market Submission Service Webinars
