10 Results Found
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
Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
… Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price MSRB-2016-12.pdf September 01, 2016 … Rulemaking Board 12- *2016 Amendment No. (req. for Amendments *) File No.* SR - Post mpost@msrb.org (202) 838-1500Telephone * E-mail * First Name * Signature Pursuant to the requirements …
Regulatory Document
Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
… Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors MSRB-2015-03-REVISED.pdf April 24, 2015 … Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 Section … organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those portions of the text of the proposed rule …
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 …
Regulatory Document
Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements
… Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements MSRB-2017-02.pdf March 22, 2017 … Board 02- *2017 Amendment No. (req. for Amendments *) File No.* SR - Marshall gmarshall@msrb.org (202) 838-1500Telephone * E-mail * First Name * Signature Pursuant to the requirements … organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those portions of the text of the proposed rule …
Regulatory Document
Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms
… and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms MSRB-2015-14.pdf December 16, 2015 … Rulemaking Board 14- *2015 Amendment No. (req. for Amendments *) File No.* SR - Post mpost@msrb.org (202) 838-1500Telephone * E-mail * First Name * Signature Pursuant to the requirements … organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those portions of the text of the proposed rule …
Regulatory Document
Revisions to the Content Outlines for the Series 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination
… 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination MSRB-2015-07.pdf July 31, 2015 … signature, and once signed, this form cannot be changed. Corporate Secretary (Title *) 07/31/2015Date Provide the name, telephone number, and e-mail address of the person on the staff of … organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those portions of the text of the proposed rule …
