39 Results Found
Regulatory Document
Implementation Guidance on MSRB Rule G-18, on Best Execution
Regulatory Document
MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training
Bank Dealers, Dealers
Regulatory Document
MSRB Extends Comment Deadline on Confirmation Disclosure Proposal
Bank Dealers, Dealers
Regulatory Document
MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution
Bank Dealers, Dealers
Regulatory Document
MSRB Seeks Applicants for Board of Directors
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015
Regulatory Document
Bank Loan Disclosure Market Advisory
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Amends Fees Charged for Qualification Examinations
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)
Municipal Advisors
Regulatory Document
SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities
Bank Dealers, Dealers, Municipal Fund Securities
Regulatory Document
MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers
Bank Dealers, Dealers
Regulatory Document
MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments
Bank Dealers, Dealers
Regulatory Document
MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016
Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB's Address on the Forms
Regulatory Document
Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing
Regulatory Document
Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)
Regulatory Document
Proposed Rule Change to Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Amendments
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and MSRB Rule G-8, on Books and Records
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
