52 Results Found
Regulatory Document
G-37 Municipal Advisory Business Import Instructions
Municipal Advisors
Regulatory Document
G-37 Municipal Securities Business Import Instructions
Regulatory Document
Q&A Summary: MSRB Compliance Workshop on Small Firm Municipal Advisor Supervision
Municipal Advisors
Regulatory Document
Sample Template and Checklist for Municipal Advisor WSPs
Municipal Advisors
Regulatory Document
FAQs Regarding MSRB Rule G-42 and Making Recommendations
Issuers, Municipal Advisors
Regulatory Document
Resource on Disclosing Mark-ups and Determining Prevailing Market Price
Bank Dealers, Dealers
Regulatory Document
Request for Comment on Draft MSRB Rule G-36, on Discretionary Transactions in Customer Accounts, and Related Draft Amendments
Bank Dealers, Dealers
Regulatory Document
Confirmation Disclosure and Prevailing Market Price Guidance: Frequently Asked Questions
Regulatory Document
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers
Bank Dealers, Dealers
Regulatory Document
MSRB Seeks Applicants for Board of Directors
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price
Bank Dealers, Dealers
Regulatory Document
MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements
Bank Dealers, Dealers
Regulatory Document
Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities
Bank Dealers, Dealers
Regulatory Document
SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Modifies Professional Qualifications Program
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Revises Content Outlines for Professional Qualification Examinations
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers
Bank Dealers, Dealers
Regulatory Document
Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers
Bank Dealers, Dealers
Regulatory Document
Compliance Advisory for Municipal Advisors
General Public, Investors, Issuers, Municipal Advisors
Regulatory Document
MSRB Expands Advisory Groups and Seeks Volunteers
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40
Municipal Advisors
Regulatory Document
MSRB Proposes a Municipal Advisor Principal Qualification Examination
Municipal Advisors
Regulatory Document
MSRB Facilitates Requests for Interpretive Guidance
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website
Bank Dealers, Dealers, Municipal Advisors
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