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
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
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
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 …
