234 Results Found
Rule
Duties of Solicitor Municipal Advisors
Establishes the core standards of conduct for solicitor municipal advisors when engaging in solicitation activities that would require them to register with the SEC and the MSRB as municipal advisors.
/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-46
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records
Issuers, Municipal Advisors
/Regulation-and-Compliance/Proposed-Rule-Change-Consisting-Amendments-MSRB-Rule-G-40-Advertising
Regulatory Document
Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records
Issuers, Municipal Advisors
/Regulation-and-Compliance/Proposed-Rule-Change-Create-New-MSRB-Rule-G-46-Duties-Solicitor-Municipal
Regulatory Document
SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8
General Public, Issuers, Municipal Advisors
/Regulation-and-Compliance/SEC-Approves-New-MSRB-Rule-G-46-Duties-Solicitor-Municipal-Advisors-and
Regulatory Document
SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media
Issuers, Municipal Advisors
/Regulation-and-Compliance/SEC-Approves-Amended-MSRB-Rule-G-40-Advertising-Municipal-Advisors
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
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
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
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Bank Dealers, Dealers, Issuers
/MSRB-Amends-Certain-Fees-Dealers-and-Municipal-Advisors-and-Proposes-Annual-Rate-Card-Process
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
MSRB Seeks Input and Volunteers for Advisory Groups
Dealers, Issuers, Municipal Advisors
/MSRB-News/MSRB-Seeks-Input-and-Volunteers-Advisory-Groups
Regulatory Document
FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
/Regulation-and-Compliance/FAQs-MSRB-Rules-Investor-and-Municipal-Advisory-Client-Education-and
Regulatory Document
MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
/Regulation-and-Compliance/MSRB-Rule-G-8-Customer-and-Municipal-Advisory-Client-Complaint-Product
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