6 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: …
