24 Results Found
Regulatory Document
MSRB Seeks Board of Directors Applicants
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Seeks-Board-Directors-Applicants-0
Regulatory Document
RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013
Bank Dealers, Dealers
/RTRS-Inter-Dealer-Regulatory-Dollar-Price-Reporting-Requirement-Effective-February-25-2013
Regulatory Document
MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17
Bank Dealers, Dealers
/MSRB-Answers-Frequently-Asked-Questions-FAQs-Regarding-Underwriters-Disclosure-Obligations-State
Regulatory Document
Enhancements to New Issue Information on EMMA
Bank Dealers, Dealers, Municipal Advisors
/Enhancements-New-Issue-Information-EMMA
Regulatory Document
SEC Approves Amendments to MSRB Rule G-39, on Telemarketing
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rule-G-39-Telemarketing
Regulatory Document
Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester
Bank Dealers, Dealers
/Notice-Regarding-Transactions-Direct-Pay-Municipal-Bonds-Subject-Subsidy-Reductions-Due-Federal
Regulatory Document
MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA
Bank Dealers, Dealers
/MSRB-Market-Transparency-Advisory-Suggested-Practices-Submitting-Financial-Disclosures-EMMA
Regulatory Document
MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents
Bank Dealers, Dealers
/MSRB-Implement-Protections-Investors-Against-Unexpected-Changes-Bond-Authorizing-Documents
Regulatory Document
2013 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2013-SEC-Filings
Regulatory Document
Presentation on Changes to Rules Relating to New Issue Reporting
Bank Dealers, Dealers
/Regulation-and-Compliance/Presentation-Changes-Rules-Relating-New-Issue-Reporting
Regulatory Document
SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8
Bank Dealers, Dealers
/SEC-Approves-Amendments-Require-Public-Disclosure-Additional-Information-Related-Dealer
Regulatory Document
MSRB Updates Electronic Form for Reporting Trades
Bank Dealers, Dealers
/MSRB-Updates-Electronic-Form-Reporting-Trades
Regulatory Document
MSRB Seeks Input on Annual Planning
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Seeks-Input-Annual-Planning
Regulatory Document
SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rules-G-11-G-8-and-G-32-Include-Provisions-Specifically-Tailored
Regulatory Document
Request for Comment on Codifying Time of Trade Disclosure Obligation
Bank Dealers, Dealers
/Request-Comment-Codifying-Time-Trade-Disclosure-Obligation
Regulatory Document
Notice Regarding MSRB Policy on Interpretive Guidance
Bank Dealers, Dealers, Municipal Advisors
/Notice-Regarding-MSRB-Policy-Interpretive-Guidance
Regulatory Document
Request for Comment on Revisions to Suitability Rule
Bank Dealers, Dealers
/Request-Comment-Revisions-Suitability-Rule
Regulatory Document
Request for Comment on Proposed Sophisticated Municipal Market Professional Rules
Bank Dealers, Dealers
/Request-Comment-Proposed-Sophisticated-Municipal-Market-Professional-Rules
Regulatory Document
Request for Comment on Whether to Require Dealers to Adopt a "Best Execution" Standard for Municipal Securities Transactions
Bank Dealers, Dealers
/Request-Comment-Whether-Require-Dealers-Adopt-a-Best-Execution-Standard-Municipal-Securities
Regulatory Document
Request for Comment on Proposed Fair-Pricing Rule
Bank Dealers, Dealers
/Request-Comment-Proposed-Fair-Pricing-Rule
Regulatory Document
Request for Comment on Proposed Rule Change to Consolidate Registration Requirements
Bank Dealers, Dealers, Municipal Advisors
/Request-Comment-Proposed-Rule-Change-Consolidate-Registration-Requirements
Regulatory Document
MSRB Proposes Changes to Continuing Education Program
Bank Dealers, Dealers
/MSRB-Proposes-Changes-Continuing-Education-Program
Regulatory Document
Request for Comment on More Contemporaneous Trade Price Information Through a New Central Transparency Platform
Bank Dealers, Dealers
/Request-Comment-More-Contemporaneous-Trade-Price-Information-Through-a-New-Central-Transparency
Regulatory Document
Concept Release on Pre-Trade and Post-Trade Pricing Data Dissemination through a New Central Transparency Platform
Bank Dealers, Dealers, Municipal Advisors
/Concept-Release-Pre-Trade-and-Post-Trade-Pricing-Data-Dissemination-through-a-New-Central
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