238 Results Found
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
/Regulation-and-Compliance/Proposed-Rule-Change-Amend-MSRB-Rule-G-27-Dealer-Supervision-Adopt-a-New
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
/Regulation-and-Compliance/MSRB-Amends-Rule-G-27-Adopt-Residential-Supervisory-Location
Regulatory Document
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Bank Dealers, Dealers, General Public, Investors
/Regulation-and-Compliance/MSRB-Retire-Select-Interpretive-Guidance-Regarding-Inter-Dealer
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
/Regulation-and-Compliance/Proposed-Rule-Change-Amend-MSRB-Rule-G-27-Supervision-Allow-Eligible
Regulatory Document
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments
Dealers, General Public, Investors, Issuers
/Regulation-and-Compliance/MSRB-Amends-Rule-G-27-Allow-Dealers-Conduct-Remote-Inspections-Consistent
Regulatory Document
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
Bank Dealers, General Public, Investors
/Regulation-and-Compliance/Request-Comment-Gathering-and-Display-Bank-Dealer-Associated-Persons-0
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
/Market-Data-and-Research/SEC-Approves-Amendments-Rule-G-47-Add-Three-New-Time-Trade-Disclosure
Regulatory Document
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
Dealers, General Public, Investors
/Rules-and-Interpretive-Guidance/SEC-Approves-Amendments-MSRB-Rule-G-14-Shorten-Timeframe-Reporting
Regulatory Document
MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology
Dealers, General Public, Investors, Issuers, Municipal Advisors
/Regulation-and-Compliance/MSRB-Seeks-Volunteers-Advisory-Groups-Including-a-New-Group-Technology
Regulatory Document
Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance
Bank Dealers, Dealers, General Public, Investors
/Regulation-and-Compliance/Request-Comment-Retrospective-Rule-Review-Rule-G-12c-Inter-Dealer
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
/SEC-Approves-Amendments-Rule-G-34-Better-Align-CUSIP-Requirements-Underwriters-and-Municipal
Regulatory Document
2004 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/Rules-and-Interpretive-Guidance/2004-SEC-Filings
Regulatory Document
2005 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2005-SEC-Filings-0
Regulatory Document
2006 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2006-SEC-Filings-0
Regulatory Document
2007 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2007-SEC-Filings-0
Regulatory Document
2008 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2008-SEC-Filings
Regulatory Document
2009 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2009-SEC-Filings
Regulatory Document
2010 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2010-SEC-Filings
Regulatory Document
2011 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2011-SEC-Filings
Regulatory Document
2012 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2012-SEC-Filings
Regulatory Document
2013 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2013-SEC-Filings
Regulatory Document
2014 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
/2014-SEC-Filings
Regulatory Document
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Dealers, General Public, Investors, Issuers, Municipal Advisors
/Regulation-and-Compliance/Concept-Release-MSRB-Requests-Comment-Potential-Modernization-Municipal
Regulatory Document
Notice Concerning Trades Effected on January 9, 2025 – National Day of Mourning for Former President James Earl Carter, Jr.
Dealers, General Public, Investors
/Regulation-and-Compliance/Notice-Concerning-Trades-Effected-January-9-2025-National-Day-Mourning
Regulatory Document
Concept Release: MSRB Requests Comment on a Municipal Securities Pre-Trade Data Initiative [Withdrawn]
Bank Dealers, Dealers, General Public, Investors
/Regulation-and-Compliance/Concept-Release-MSRB-Requests-Comment-a-Municipal-Securities-Pre-Trade
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