24 Results Found
Regulatory Document
MSRB to Collect Additional Data About 529 College Savings Plans
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
/MSRB-Collect-Additional-Data-About-529-College-Savings-Plans
Regulatory Document
SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
/SEC-Approves-New-Consolidated-Registration-Rule-and-Registration-Form-Dealers-and-Municipal
Regulatory Document
Fee Changes for Data Subscription Products and Services
Bank Dealers, Dealers, Municipal Advisors
/Fee-Changes-Data-Subscription-Products-and-Services
Regulatory Document
SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions
Bank Dealers, Dealers
/SEC-Approves-MSRB-Rule-G-47-Time-Trade-Disclosure-Obligations-MSRB-Rules-D-15-and-G-48
Regulatory Document
MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals
Municipal Advisors
/MSRB-Implement-New-MSRB-Rule-A-11-Establishing-Fees-Municipal-Advisor-Professionals
Regulatory Document
Guidance on the MSRB Municipal Advisor Registration Process
Municipal Advisors
/Guidance-MSRB-Municipal-Advisor-Registration-Process
Regulatory Document
MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30
Bank Dealers, Dealers
/MSRB-Consolidate-Dealers-Fair-Pricing-Obligations-MSRB-Rule-G-30
Regulatory Document
SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rule-G-3-Professional-Qualification-Requirements
Regulatory Document
SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rule-G-3-regarding-Continuing-Education
Regulatory Document
SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9
Municipal Advisors
/SEC-Approves-MSRB-Rule-G-44-Supervisory-and-Compliance-Obligations-Municipal-Advisors-and
Regulatory Document
Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1
/Amendments-EMMA-Continuing-Disclosure-Service-Add-Asset-Backed-Securities-Disclosures-Under
Regulatory Document
SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals
Bank Dealers, Dealers
/SEC-Approves-MSRB-Rule-G-18-Best-Execution-Transactions-Municipal-Securities-and-Related-Amendments
Regulatory Document
2014 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2014-SEC-Filings
Regulatory Document
FAQs on MSRB Registration
Bank Dealers, Dealers, Municipal Advisors
/Regulation-and-Compliance/FAQs-MSRB-Registration
Regulatory Document
Request for Comment on Draft MSRB Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors
Municipal Advisors
/Request-Comment-Draft-MSRB-Rule-G-44-Supervisory-and-Compliance-Obligations-Municipal-Advisors
Regulatory Document
Request for Comment on Draft Amendments to MSRB Rule G-37 to Extend its Provisions to Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
/Request-Comment-Draft-Amendments-MSRB-Rule-G-37-Extend-its-Provisions-Municipal-Advisors
Regulatory Document
MSRB Seeks Input on Strategic Priorities
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Seeks-Input-Strategic-Priorities
Regulatory Document
Request for Comment on Draft Amendments to MSRB Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, to Extend its Provisions to Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
/Request-Comment-Draft-Amendments-MSRB-Rule-G-20-Gifts-Gratuities-and-Non-Cash-Compensation-Extend
Regulatory Document
Request for Comment on Draft Best-Execution Rule, Including Exception for Transactions with Sophisticated Municipal Market Professionals
Bank Dealers, Dealers
/Request-Comment-Draft-Best-Execution-Rule-Including-Exception-Transactions-Sophisticated-Municipal
Regulatory Document
Request for Comment on Establishing Professional Qualification Requirements for Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
/Request-Comment-Establishing-Professional-Qualification-Requirements-Municipal-Advisors
Regulatory Document
Request for Comment on Revised Draft MSRB Rule G-42, on Duties of Non-Solicitor Municipal Advisors
Municipal Advisors
/Request-Comment-Revised-Draft-MSRB-Rule-G-42-Duties-Non-Solicitor-Municipal-Advisors
Regulatory Document
Request for Comment on Enhancements to Post-Trade Transaction Data Disseminated Through a New Central Transparency Platform
Bank Dealers, Dealers
/Request-Comment-Enhancements-Post-Trade-Transaction-Data-Disseminated-Through-a-New-Central
Regulatory Document
Request for Comment on Draft Rule Amendments to Require Dealers to Provide Pricing Reference Information on Retail Customer Confirmations
Bank Dealers, Dealers, Municipal Advisors
/Request-Comment-Draft-Rule-Amendments-Require-Dealers-Provide-Pricing-Reference-Information-Retail
Regulatory Document
Request for Comment on Draft MSRB Rule G-42, on Duties of Non-Solicitor Municipal Advisors
Municipal Advisors
/Request-Comment-Draft-MSRB-Rule-G-42-Duties-Non-Solicitor-Municipal-Advisors
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