29 Results Found
Regulatory Document
Frequently Asked Questions About Form G-32
Dealers, Investors
Regulatory Document
Summary Table of New Fields for Amended Form G-32
Bank Dealers, Dealers, Investors
Regulatory Document
Understanding the Municipal Advisor Principal Qualification Examination
Municipal Advisors
Regulatory Document
Request for Comment on Amendments to Rule G-10 Notification Requirements for Dealers
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
Second Request for Comment on Fair Dealing Solicitor Municipal Advisor Obligations and New Draft Rule G-46
Municipal Advisors
Regulatory Document
Request for Comment on Application of Regulation Best Interest to Bank-Dealers
Bank Dealers
Regulatory Document
FAQs on Municipal Advisor Professional Qualification and Examination Requirements
Municipal Advisors
Regulatory Document
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination
Municipal Advisors
Regulatory Document
SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers
Bank Dealers, Dealers
Regulatory Document
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic
Bank Dealers, Dealers
Regulatory Document
MSRB Seeks Input and Volunteers for Advisory Group
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers
Bank Dealers, Dealers
Regulatory Document
MSRB Extends Compliance Date for Amended Form G-32
Bank Dealers, Dealers
Regulatory Document
MSRB Temporarily Reduces Market Activity Fees by 40 Percent
Bank Dealers, Dealers
Regulatory Document
MSRB Updates Rule A-8, on Rulemaking Procedures
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)
Municipal Advisors
Regulatory Document
Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
Regulatory Document
Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022 Pursuant to MSRB Rule G-27, on Supervision
Regulatory Document
Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements
Regulatory Document
Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions
Regulatory Document
Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13
