826 Results Found
Regulatory Document
MSRB and CDIAC Announce Education and Outreach Seminar in San Francisco
/MSRB-and-CDIAC-Announce-Education-and-Outreach-Seminar-San-Francisco
Regulatory Document
MSRB and BDA to Co-Host Municipal Securities Regulation Seminar in Chicago
/MSRB-and-BDA-Co-Host-Municipal-Securities-Regulation-Seminar-Chicago
Regulatory Document
MSRB Revises Series 53 Study Outline
Bank Dealers, Dealers
/MSRB-Revises-Series-53-Study-Outline
Regulatory Document
MSRB Seeks Board of Directors Applicants
Bank Dealers, Dealers, Municipal Advisors
/MSRB-Seeks-Board-Directors-Applicants-0
Regulatory Document
RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013
Bank Dealers, Dealers
/RTRS-Inter-Dealer-Regulatory-Dollar-Price-Reporting-Requirement-Effective-February-25-2013
Regulatory Document
MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17
Bank Dealers, Dealers
/MSRB-Answers-Frequently-Asked-Questions-FAQs-Regarding-Underwriters-Disclosure-Obligations-State
Regulatory Document
Enhancements to New Issue Information on EMMA
Bank Dealers, Dealers, Municipal Advisors
/Enhancements-New-Issue-Information-EMMA
Regulatory Document
SEC Approves Amendments to MSRB Rule G-39, on Telemarketing
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rule-G-39-Telemarketing
Regulatory Document
Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester
Bank Dealers, Dealers
/Notice-Regarding-Transactions-Direct-Pay-Municipal-Bonds-Subject-Subsidy-Reductions-Due-Federal
Regulatory Document
MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA
Bank Dealers, Dealers
/MSRB-Market-Transparency-Advisory-Suggested-Practices-Submitting-Financial-Disclosures-EMMA
Regulatory Document
MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents
Bank Dealers, Dealers
/MSRB-Implement-Protections-Investors-Against-Unexpected-Changes-Bond-Authorizing-Documents
Regulatory Document
MSRB to Collect Additional Data About 529 College Savings Plans
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
/MSRB-Collect-Additional-Data-About-529-College-Savings-Plans
Regulatory Document
SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
/SEC-Approves-New-Consolidated-Registration-Rule-and-Registration-Form-Dealers-and-Municipal
Regulatory Document
Fee Changes for Data Subscription Products and Services
Bank Dealers, Dealers, Municipal Advisors
/Fee-Changes-Data-Subscription-Products-and-Services
Regulatory Document
SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions
Bank Dealers, Dealers
/SEC-Approves-MSRB-Rule-G-47-Time-Trade-Disclosure-Obligations-MSRB-Rules-D-15-and-G-48
Regulatory Document
MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals
Municipal Advisors
/MSRB-Implement-New-MSRB-Rule-A-11-Establishing-Fees-Municipal-Advisor-Professionals
Regulatory Document
Guidance on the MSRB Municipal Advisor Registration Process
Municipal Advisors
/Guidance-MSRB-Municipal-Advisor-Registration-Process
Regulatory Document
MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30
Bank Dealers, Dealers
/MSRB-Consolidate-Dealers-Fair-Pricing-Obligations-MSRB-Rule-G-30
Regulatory Document
SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rule-G-3-Professional-Qualification-Requirements
Regulatory Document
SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education
Bank Dealers, Dealers
/SEC-Approves-Amendments-MSRB-Rule-G-3-regarding-Continuing-Education
Regulatory Document
SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9
Municipal Advisors
/SEC-Approves-MSRB-Rule-G-44-Supervisory-and-Compliance-Obligations-Municipal-Advisors-and
Regulatory Document
Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1
/Amendments-EMMA-Continuing-Disclosure-Service-Add-Asset-Backed-Securities-Disclosures-Under
Regulatory Document
SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals
Bank Dealers, Dealers
/SEC-Approves-MSRB-Rule-G-18-Best-Execution-Transactions-Municipal-Securities-and-Related-Amendments
Regulatory Document
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
Dealers, Municipal Advisors
/Regulation-and-Compliance/Current-Dealer-and-Municipal-Advisor-Fees-Upon-SEC-Suspension-2024-Annual
Regulatory Document
SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date
/Regulation-and-Compliance/SEC-Approves-Amendment-MSRB-Rule-G-12-Promote-Completion-Allocations
Showing 1 to 25 of 826 entries
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