16 Results Found
Regulatory Document
Notice of Interpretation: Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
… Notice of Interpretation: Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business MSRB Notice 1998-17 June 29, 1998 Since May 1994, the Board has provided interpretive guidance on rule G-37 through the publication of …
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
MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal Entities on Behalf of Others
… MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal …
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
Notice Regarding the Application of Rule G-37 to Presidential Campaigns of Issuer Officials
… Notice Regarding the Application of Rule G-37 to Presidential Campaigns of Issuer Officials MSRB Notice 1999-09 March 23, 1999 Notice Regarding the Application of Rule G-37 to Presidential …
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 MSRB Notice 2008-38 September 11, 2008 In 1999, the Municipal Securities Rulemaking Board (MSRB) …
Regulatory Document
MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA
Bank Dealers, Dealers
… MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA MSRB Notice 2013-18 August 12, 2013 Since July 1, 2009, the … the various types of municipal securities offerings, including how to trace which obligations may apply to a particular offering. [5] The MSRB expects to publish additional market …
Regulatory Document
Technical Revisions and Reorganization of Rule G-37 Qs & As
… Technical Revisions and Reorganization of Rule G-37 Qs & As MSRB Notice 2003-41 October 30, 2003 Since the adoption of Rule G-37, on political contributions … and complying with the provisions of the rule, the MSRB has published a series of interpretive notices that set forth, in Q & A format, general guidance on Rule G-37. On May 8, …
Regulatory Document
MSRB Discussion Paper on Disclsoure in the Municipal Securities Market
… MSRB Discussion Paper on Disclsoure in the Municipal Securities Market MSRB Notice 2000-35 … the investor base and unique trading patterns. There are over 80,000 governmental units that may issue municipal securities. [1] These issuers include not only states and local … disclosures designed for the secondary market. As discussed below, this began to change in 1995 with the adoption of the continuing disclosure amendments to Exchange Act Rule 15c2-12 …
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
Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions
… Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions MSRB Notice 2000-30 September 28, 2000 The Municipal Securities Rulemaking Board (“MSRB”) is … on the draft interpretive guidance should be submitted no later than December 1, 2000, and may be directed to Carolyn Walsh, Assistant General Counsel, or Ernesto A. Lanza, Associate …
Regulatory Document
Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission
… Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission MSRB Notice 2000-15 April 05, 2000 The Municipal Securities Rulemaking Board has filed with the … with new issues, and rule G-34, on CUSIP numbers and new issue requirements; and (iii) an MSRB interpretation relating to sales of municipal fund securities in the primary market. The … changes published on March 17, 1999 (the “March Notice”). [3] The MSRB received seven comment letters on the August Notice. After reviewing these comments, the MSRB approved the draft rule …
Regulatory Document
MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice
… MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice MSRB Notice 2011-48 August 23, 2011 On August 23, 2011, the Municipal …
Regulatory Document
Municipal Fund Securities - Revised Draft Rule Changes
… Municipal Fund Securities - Revised Draft Rule Changes MSRB Notice 1999-24 August 27, 1999 The Board is requesting further comments on revised draft … for further comment from industry participants. The Board believes that many of the comments reflect a misunderstanding of the nature of the Board's rulemaking proposals and … types of state or local governmental programs involving investment interests in which dealers may effect transactions: pooled investment funds under trusts established by state or local …
