42 Results Found
Regulatory Document
Guide to Printing a Certificate of Current MSRB Registraion
Bank Dealers, Dealers, Municipal Advisors
/Regulation-and-Compliance/Guide-Printing-a-Certificate-Current-MSRB-Registraion
Regulatory Document
FAQs on Price Variance Alerts on Reported Trades
Bank Dealers, Dealers
/Regulation-and-Compliance/FAQs-Price-Variance-Alerts-Reported-Trades
Regulatory Document
Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)
Issuers, Municipal Advisors
/Regulation-and-Compliance/Application-Content-Standards-Advertisements-Municipal-Advisors-under
Regulatory Document
FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)
Issuers, Municipal Advisors
/Regulation-and-Compliance/FAQs-Use-Municipal-Advisory-Client-Lists-and-Case-Studies-effective-Aug
Regulatory Document
Resources Related to 2019 Municipal Securities Examination Priorities
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
/Resources-Related-2019-Municipal-Securities-Examination-Priorities
Regulatory Document
FAQs Regarding MSRB Rule G-12 on Close-Outs
Bank Dealers, Dealers
/Regulation-and-Compliance/FAQs-Regarding-MSRB-Rule-G-12-Close-Outs
Regulatory Document
Understanding MSRB Rules Regarding Gifts, Gratuities and Non-Cash Compensation
Bank Dealers, Dealers, Municipal Advisors
/Regulation-and-Compliance/Understanding-MSRB-Rules-Regarding-Gifts-Gratuities-and-Non-Cash
Regulatory Document
Request for Comment on Draft Interpretive Guidance on Application of MSRB Rules to Certain Prearranged Trading in Connection with Primary Offerings
Bank Dealers, Dealers
/Request-Comment-Draft-Interpretive-Guidance-Application-MSRB-Rules-Certain-Prearranged-Trading
Regulatory Document
MSRB Solicits Applicants for Board of Directors
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Solicits-Applicants-Board-Directors
Regulatory Document
MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Extends-Effective-Date-Amendments-MSRB-Rule-G-21-and-New-MSRB-Rule-G-40
Regulatory Document
MSRB Identifies Priority Rules for Retrospective Review in 2019
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Identifies-Priority-Rules-Retrospective-Review-2019
Regulatory Document
MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution
Bank Dealers, Dealers
/MSRB-Amends-Implementation-Guidance-MSRB-Rule-G-18-Best-Execution
Regulatory Document
MSRB Amends Rule A-16 on Examination Fees
Municipal Advisors
/MSRB-Amends-Rule-A-16-Examination-Fees
Regulatory Document
MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Establishes-Effective-Date-Advertising-Rules-and-Provides-Social-Media-Guidance-and-Related
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-2
Regulatory Document
MSRB Proposes Amendments to Rules Related to Primary Offering Practices
Bank Dealers, Dealers
/MSRB-Proposes-Amendments-Rules-Related-Primary-Offering-Practices
Regulatory Document
MSRB Updates Rulebook with Nonsubstantive, Technical Amendments
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Updates-Rulebook-Nonsubstantive-Technical-Amendments
Regulatory Document
MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules
Bank Dealers, Dealers
/MSRB-Proposes-Eliminate-MSRB-Rule-G-29-Availability-Board-Rules
Regulatory Document
MSRB Announces June 3, 2019 Operative Date for Technical Amendments
Bank Dealers, Dealers
/MSRB-Announces-June-3-2019-Operative-Date-Technical-Amendments
Regulatory Document
SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rules-and-Data-Collection-Related-Primary-Offering-Practices
Regulatory Document
MSRB Amends Professional Fee for Municipal Advisors
Municipal Advisors
/MSRB-Amends-Professional-Fee-Municipal-Advisors-0
Regulatory Document
MSRB Seeks Input and Volunteers for Advisory Groups
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Seeks-Input-and-Volunteers-Advisory-Groups
Regulatory Document
MSRB to Launch Permanent Series 54 Examination November 12, 2019
Municipal Advisors
/MSRB-Launch-Permanent-Series-54-Examination-November-12-2019
Regulatory Document
MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination
Municipal Advisors
/MSRB-Revises-Content-Outline-Municipal-Advisor-Principal-Qualification-Examination
Regulatory Document
SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17
Bank Dealers, Dealers, Municipal Advisors
/SEC-Approves-Amendments-Underwriters-Fair-Dealing-Obligations-Issuers-Under-Rule-G-17
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