21 Results Found
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
Dealers
Regulatory Document
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
Dealers, Municipal Advisors
Regulatory Document
SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date
Regulatory Document
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
Regulatory Document
Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11
Municipal Advisors
Regulatory Document
MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees
Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios
Bank Dealers, Dealers, Municipal Fund Securities
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification
Bank Dealers, Dealers, General Public, Investors
Regulatory Document
MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions
Dealers, General Public, Investors, Issuers
Regulatory Document
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Bank Dealers, Dealers, General Public, Investors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill Their Internal Inspection Obligation of Certain Offices and Locations Remotely for a Pilot Period, Subject to the Conditions Prescribed under FINRA’s Remote Inspections Pilot Program
Dealers, General Public, Investors, Issuers
Regulatory Document
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments
Dealers, General Public, Investors, Issuers
Regulatory Document
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
Bank Dealers, General Public, Investors
Regulatory Document
SEC Approves Amendments to Rule G-47 to Add Three New Time of Trade Disclosure Scenarios, Codify and Consolidate Existing Guidance, Delete Certain Guidance, and Make Technical Amendments
Dealers, General Public, Investors
Regulatory Document
Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection
Dealers
Regulatory Document
MSRB Amends Real-Time Transaction Reporting and Price Dissemination Information Facility to Consolidate Subscriber Access to Real-Time Transaction Reporting System Data
Dealers
Regulatory Document
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
Dealers, General Public, Investors
Regulatory Document
MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology
Dealers, General Public, Investors, Issuers, Municipal Advisors
Regulatory Document
Request for Information on the MSRB’s Rate Card Process
Dealers, General Public, Municipal Advisors
Regulatory Document
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Dealers, General Public, Investors, Issuers, Municipal Advisors
Regulatory Document
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors
