53 Results Found
Regulatory Document
MSRB Form G-32
Dealers, Investors
/Regulation-and-Compliance/MSRB-Form-G-32
Regulatory Document
Underwriters: Understanding Duties of Municipal Advisors
Dealers, Municipal Advisors
/Regulation-and-Compliance/Underwriters-Understanding-Duties-Municipal-Advisors
Regulatory Document
Sales of Interests in ABLE Programs in the Primary Market
/Sales-Interests-ABLE-Programs-Primary-Market
Regulatory Document
Questions and Answers Notice Concerning Real-Time Reporting of Municipal Securities Transactions
/Questions-and-Answers-Notice-Concerning-Real-Time-Reporting-Municipal-Securities-Transactions
Regulatory Document
Calculations for Securities with Periodic Interest Payments
/Calculations-Securities-Periodic-Interest-Payments
Regulatory Document
Application of MSRB Rules to Transactions in Managed Accounts
/Application-MSRB-Rules-Transactions-Managed-Accounts
Regulatory Document
MSRB Seeks Applicants for Board of Directors
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Seeks-Applicants-Board-Directors-0
Regulatory Document
SEC Approves New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8
Bank Dealers, Dealers, Municipal Advisors
/SEC-Approves-New-MSRB-Rule-G-42-Duties-Non-Solicitor-Municipal-Advisors-and-Related-Amendments-MSRB
Regulatory Document
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Bank Dealers, Dealers, Municipal Advisors
/Designation-Information-Regarding-Mandatory-Participation-Business-Continuity-and-Disaster-Recovery
Regulatory Document
MSRB Revises Content Outline for the General Securities Sales Supervisor Qualification Examination
Bank Dealers, Dealers
/MSRB-Revises-Content-Outline-General-Securities-Sales-Supervisor-Qualification-Examination
Regulatory Document
Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934
Bank Dealers, Dealers, Municipal Advisors
/Amendments-MSRB-Rule-G-37-Political-Contributions-and-Prohibitions-Municipal-Securities-Business
Regulatory Document
MSRB Amends its Rule Regarding Calculations for Bonds that Do Not Pay Interest Semi-Annually
Bank Dealers, Dealers
/MSRB-Amends-its-Rule-Regarding-Calculations-Bonds-Do-Not-Pay-Interest-Semi-Annually
Regulatory Document
MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting
Bank Dealers, Dealers
/MSRB-Revises-Effective-Date-Amendments-MSRB-Rule-G-14-Transaction-Reporting
Regulatory Document
SEC Approves Amendments to MSRB Rule A-3, on Membership on the Board, to Lengthen the Term of Board Member Service
Bank Dealers, Dealers, Municipal Advisors
/SEC-Approves-Amendments-MSRB-Rule-A-3-Membership-Board-Lengthen-Term-Board-Member-Service
Regulatory Document
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
Bank Dealers, Dealers, Municipal Advisors
/Direct-Purchases-and-Bank-Loans-Alternatives-Public-Financing-Municipal-Securities-Market
Regulatory Document
Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
/Municipal-Fund-Securities-Interpretation-Relating-Sales-Interests-ABLE-Programs-Primary-Market
Regulatory Document
MSRB to Amend Rules to Define Two-Day Settlement Cycle
Bank Dealers, Dealers
/MSRB-Amend-Rules-Define-Two-Day-Settlement-Cycle
Regulatory Document
MSRB to Launch Permanent Series 50 Exam September 12, 2016
Municipal Advisors
/MSRB-Launch-Permanent-Series-50-Exam-September-12-2016
Regulatory Document
MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination
Municipal Advisors
/MSRB-Revises-Content-Outline-Municipal-Advisor-Representative-Qualification-Examination
Regulatory Document
MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Files-Amendment-Rule-G-37-Clarify-its-Application-Contributions-August-17-2016
Regulatory Document
MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities
Bank Dealers, Dealers
/MSRB-Provides-Guidance-MSRB-Rule-G-14-Reports-Sales-or-Purchases-Municipal-Securities
Regulatory Document
MSRB Delays Reporting of Information by Underwriters of ABLE Programs and Provides Guidance Relating to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities, including ABLE Programs
Bank Dealers, Dealers, Municipal Fund Securities
/MSRB-Delays-Reporting-Information-Underwriters-ABLE-Programs-and-Provides-Guidance-Relating
Regulatory Document
SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rule-G-12-Close-Out-Procedures
Regulatory Document
SEC Approves MSRB Academic Historical Transaction Data Product
Bank Dealers, Dealers, Municipal Advisors
/SEC-Approves-MSRB-Academic-Historical-Transaction-Data-Product
Regulatory Document
MSRB Announces the Effective Date of the Academic Historical Transaction Data Product
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Announces-Effective-Date-Academic-Historical-Transaction-Data-Product
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