167 Results Found
Rule
Standards of Professional Qualification
Prohibits dealers from effecting transactions in municipal securities and municipal advisors from engaging in municipal advisory activities unless they and their associated personnel are qualified in accordance with MSRB rules.
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
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
Dealers, Municipal Advisors
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
Regulatory Document
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
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
MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees
Municipal Advisors
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
Preparing to Submit MSRB Form A-12
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
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 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
Compliance Tip of the Week Archive
Bank Dealers, Dealers, Municipal Advisors
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Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference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
SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8
General Public, Issuers, 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
MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16
Dealers
Regulatory Document
Common Compliance Questions & News Library
Bank Dealers, Dealers, Municipal Advisors
Regulatory Document
SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media
Issuers, Municipal Advisors
Regulatory Document
MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1
Dealers
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
MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions
Dealers, General Public, Investors, Issuers
Regulatory Document
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Bank Dealers, Dealers, General Public, Investors
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
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments
Dealers, General Public, Investors, Issuers
Regulatory Document
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
Bank Dealers, General Public, Investors
