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
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
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
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
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
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
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
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
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
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 …
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 …
