5 Results Found
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 …
