11 Results Found
Regulatory Document
Application of Rule G-37 to Presidential Campaigns of Issuer Officials
… Application of Rule G-37 to Presidential Campaigns of Issuer Officials March 23, 1999 In response to numerous calls on this subject, the Board wishes to … persons interested in contributing to an issuer official's Presidential campaign to the MSRB Interpretation of May 31, 1995 (the “1995 Interpretive Letter”). [1] Rule G-37, among other … numerous calls on this subject, the Board wishes to reiterate its position on the application of rule G-37, on political contributions and prohibitions on municipal securities business, to …
Regulatory Document
Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials
… Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials September 11, 2008 In 1999, the Municipal Securities Rulemaking Board (MSRB) published a notice on the application of Rule G-37, on political contributions and … In 1999, the Municipal Securities Rulemaking Board (MSRB) published a notice on the application of Rule G-37, on political contributions and prohibitions on municipal securities business, to …
Regulatory Document
Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials
… Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials September 28, 2011 In 1999, the MSRB published a notice on the application of Rule G-37, on political contributions and … In 1999, the MSRB published a notice on the application of Rule G-37, on political contributions and prohibitions on municipal securities business, to Presidential campaigns of issuer officials. [1] In general, the notice described a 1995 interpretive letter [2] in which the …
Regulatory Document
Solicitation of Contributions
… Solicitation of Contributions May 21, 1999 Solicitation of contributions. This is in response to your letter in which you summarize your understanding of our telephone conversation relating to … Solicitation of contributions. This is in response to your letter in which you summarize your understanding of our telephone conversation relating to …
Regulatory Document
Campaign for federal office
… Campaign for federal office May 31, 1995 Campaign for federal office. This is in response to your letter dated May 5, 1995, concerning the application of the Board's rule G-37 to a campaign for … Campaign for federal office. This is in response to your letter dated May 5, 1995, concerning the application of the Board's rule G-37 to a campaign for …
Regulatory Document
Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors
… Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors MSRB Notice 2011-13 February 14, 2011 The Municipal … of the transaction or product if it has expressly disclaimed that obligation in its engagement letter or other writing with the client. Due Care . In all cases, the municipal advisor’s Rule … 1. American Federation of State, County and Municipal Employees: Letter from Gerald W. McEntee, International President, dated April 11, 2011 2. American …
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
… Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance 2023-08.pdf MSRB Notice 2023-08 September 28, 2023 … reserved. Receive emails about MSRB Notices. Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance Overview As part of its ongoing retrospective review of its rules and …
Regulatory Document
Request for Comment on Draft MSRB Rule G-36 (on Fiduciary Duty of Municipal Advisors) and Draft Interpretive Notice
… Request for Comment on Draft MSRB Rule G-36 (on Fiduciary Duty of Municipal Advisors) and Draft Interpretive Notice MSRB Notice 2011-14 February 14, 2011 The Municipal Securities Rulemaking … 1. American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, dated April 11, 2011 2. American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated April 11, 2011 …
Regulatory Document
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Dealers, General Public, Investors, Issuers, Municipal Advisors
… Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations MSRB-Notice-2024-15_1.pdf MSRB Notice 2024-15 December 11, 2024 … msrb.org | emma.msrb.org 1 © 2024 Municipal Securities Rulemaking Board. All rights reserved. nvesfmater Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations Overview The Municipal Securities Rulemaking …
Regulatory Document
Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)
… and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994) December 16, 2015 All Rule G-37 interpretive guidance for dealers shall apply to the analogous interpretive issues for municipal advisors, with the exception of interpretive guidance issued on February 21, 1997, and April 2, 2002. See Notice of Filing of … recordkeeping and disclosure provisions apply to non-MFP executive officers of the dealer. (May 24, 1994) II. PROHIBITION ON ENGAGING IN MUNICIPAL SECURITIES BUSINESS (Rule G-37(b)) II.1 Q: …
Regulatory Document
Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions
… for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions MSRB Notice 2002-12 April 02, 2002 Comments are due by June 3, 2002 In June 2001, the Municipal … intended to maintain its effectiveness while seeking to determine whether further refinements may be called for, given the experience of the industry during the last seven years. The MSRB … dealers as selling group members. As discussed in detail below, the MSRB is publishing an interpretive notice on the effect of a ban on business under Rule G-37 arising during a …
