5 Results Found
Regulatory Document
Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials
… Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials September 28, 2011 In 1999, the MSRB published a notice on the application of Rule G-37, on political contributions and … In 1999, the MSRB published a notice on the application of Rule G-37, on political contributions and prohibitions on municipal securities business, to Presidential campaigns of issuer officials. [1] In general, the notice described a 1995 interpretive letter [2] in which the …
Regulatory Document
Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors
… Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors MSRB Notice 2011-13 February 14, 2011 The Municipal … of the transaction or product if it has expressly disclaimed that obligation in its engagement letter or other writing with the client. Due Care . In all cases, the municipal advisor’s Rule … 1. American Federation of State, County and Municipal Employees: Letter from Gerald W. McEntee, International President, dated April 11, 2011 2. American …
Regulatory Document
Request for Comment on Draft MSRB Rule G-36 (on Fiduciary Duty of Municipal Advisors) and Draft Interpretive Notice
… Request for Comment on Draft MSRB Rule G-36 (on Fiduciary Duty of Municipal Advisors) and Draft Interpretive Notice MSRB Notice 2011-14 February 14, 2011 The Municipal Securities Rulemaking … 1. American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, dated April 11, 2011 2. American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated April 11, 2011 …
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
… MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal …
Regulatory Document
MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice
… MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice MSRB Notice 2011-48 August 23, 2011 On August 23, 2011, the Municipal …
