109 Results Found
Regulatory Document
Proposed Rule Change to Amend Rule G-14 RTRS Procedures under MSRB Rule G-14 Regarding the Timing of Reporting Transactions in Municipal Securities to the MSRB and to Make a Related Amendment to Rule G-12
Bank Dealers, Dealers
Regulatory Document
Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection
Dealers
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill Their Internal Inspection Obligation of Certain Offices and Locations Remotely for a Pilot Period, Subject to the Conditions Prescribed under FINRA’s Remote Inspections Pilot Program
Dealers, General Public, Investors, Issuers
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification
Bank Dealers, Dealers, General Public, Investors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios
Bank Dealers, Dealers, Municipal Fund Securities
Regulatory Document
Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11
Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
Dealers
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date [Refiled to make technical changes, original filed on December 14, 2023]
Dealers
Regulatory Document
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)
Dealers, Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books and Records Requirements [Refiled to make technical changes, original filed on July 17, 2023]
Dealers, Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities
Dealers
Regulatory Document
Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference
Bank Dealers, Dealers
Regulatory Document
Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records
Issuers, Municipal Advisors
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records
Issuers, Municipal Advisors
Regulatory Document
Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes
Regulatory Document
Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-3 Continuing Education Program Requirements to Harmonize with Industry-Wide Transformation
Regulatory Document
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
Regulatory Document
Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB’s Officers
Regulatory Document
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 (SR-MSRB-2022-03 WITHDRAWN)
Regulatory Document
Proposed Rule Change Consisting of Amendments to Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals [Refiled to make technical changes, original filed on April 19, 2022]
Regulatory Document
Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until December 31, 2022 Pursuant to Rule G-27, on Supervision
Regulatory Document
Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022 Pursuant to MSRB Rule G-27, on Supervision
