5 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
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 …
