30 Results Found
Regulatory Document
MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes
Regulatory Document
MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
Preparing to Submit MSRB Form A-12
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections
Bank Dealers, Dealers
Regulatory Document
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Bank Dealers, Dealers, Issuers
Regulatory Document
MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs
Bank Dealers, Dealers
Regulatory Document
MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19
Bank Dealers, Dealers
Regulatory Document
MSRB Revises and Resubmits Annual Rate Card Amendments
Dealers, Municipal Advisors
Regulatory Document
SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
Bank Dealers, Dealers, Investors, Municipal Advisors
Regulatory Document
MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements
Dealers
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-3 Continuing Education Program Requirements to Harmonize with Industry-Wide Transformation
Regulatory Document
MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
Considerations for Assessing Written Supervisory Procedures for Municipal Advisory Services
Municipal Advisors
Regulatory Document
Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing
Dealers
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023
Regulatory Document
Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease
Regulatory Document
Annual Affirmation Guide
Dealers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
Request for Comment on Draft Amendments to MSRB Rule G-32 to Streamline the Deadlines for Submitting Information on Form G-32
Regulatory Document
G-32 Form Updates
Dealers, Investors
Regulatory Document
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
Regulatory Document
Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB’s Officers
