132 Results Found
Regulatory Document
Application of Rule G-37 to Presidential Campaigns of Issuer Officials
… Application of Rule G-37 to Presidential Campaigns of Issuer Officials March 23, 1999 In response to numerous calls on this subject, the Board wishes to … persons interested in contributing to an issuer official's Presidential campaign to the MSRB Interpretation of May 31, 1995 (the “1995 Interpretive Letter”). [1] Rule G-37, among other … numerous calls on this subject, the Board wishes to reiterate its position on the application of rule G-37, on political contributions and prohibitions on municipal securities business, to …
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 September 11, 2008 In 1999, the Municipal Securities Rulemaking Board (MSRB) published a notice on the application of Rule G-37, on political contributions and … In 1999, the Municipal Securities Rulemaking Board (MSRB) published a notice on the application of Rule G-37, on political contributions and prohibitions on municipal securities business, to …
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 September 28, 2011 In 1999, the MSRB published a notice on the application of Rule G-37, on political contributions and … In 1999, the MSRB published a notice on the application of Rule G-37, on political contributions and prohibitions on municipal securities business, to Presidential campaigns of issuer officials. [1] In general, the notice described a 1995 interpretive letter [2] in which the …
Regulatory Document
Solicitation of Contributions
… Solicitation of Contributions May 21, 1999 Solicitation of contributions. This is in response to your letter in which you summarize your understanding of our telephone conversation relating to … Solicitation of contributions. This is in response to your letter in which you summarize your understanding of our telephone conversation relating to …
Regulatory Document
Campaign for federal office
… Campaign for federal office May 31, 1995 Campaign for federal office. This is in response to your letter dated May 5, 1995, concerning the application of the Board's rule G-37 to a campaign for … Campaign for federal office. This is in response to your letter dated May 5, 1995, concerning the application of the Board's rule G-37 to a campaign for …
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
Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors
… Request for Comment on Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors MSRB Notice 2011-13 February 14, 2011 The Municipal … of the transaction or product if it has expressly disclaimed that obligation in its engagement letter or other writing with the client. Due Care . In all cases, the municipal advisor’s Rule … 1. American Federation of State, County and Municipal Employees: Letter from Gerald W. McEntee, International President, dated April 11, 2011 2. American …
Regulatory Document
Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance
Bank Dealers, Dealers, General Public, Investors
… Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance 2023-08.pdf MSRB Notice 2023-08 September 28, 2023 … reserved. Receive emails about MSRB Notices. Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance Overview As part of its ongoing retrospective review of its rules and …
Regulatory Document
Request for Comment on Draft MSRB Rule G-36 (on Fiduciary Duty of Municipal Advisors) and Draft Interpretive Notice
… Request for Comment on Draft MSRB Rule G-36 (on Fiduciary Duty of Municipal Advisors) and Draft Interpretive Notice MSRB Notice 2011-14 February 14, 2011 The Municipal Securities Rulemaking … 1. American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, dated April 11, 2011 2. American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated April 11, 2011 …
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
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Dealers, General Public, Investors, Issuers, Municipal Advisors
… Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations MSRB-Notice-2024-15_1.pdf MSRB Notice 2024-15 December 11, 2024 … msrb.org | emma.msrb.org 1 © 2024 Municipal Securities Rulemaking Board. All rights reserved. nvesfmater Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations Overview The Municipal Securities Rulemaking …
Publication
MSRB-White-Paper-Evolution-of-EMMA.pdf
… transparency research Transparency Milestones in Municipal Market THE EVOLUTION OF EMMA® CONTENTS I. Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . … . .9 Private-Sector Solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 MSRB Takes on Centralized Disclosure . . . . . . . . . . . . . . . . . . 11 EMMA Becomes Official … Milestones in Municipal Market Transparency: The Evolution of EMMA® | 1 I. Overview On March 31, 2008, the Municipal Securities Rulemaking Board (MSRB) unveiled the pilot version of a …
Publication
Federal Register Notice of Approval-2023-02
… / Notices nor do they impose any ‘‘additional requirements’’ on auditors. Section 103(a)(3)(C) of Sarbanes-Oxley. Accordingly, the Board has concluded that Section 103(a)(3)(C) of … 2023), 88 FR 9560 (February 14, 2023) (File No. MSRB–2023–02) (the ‘‘Notice’’). 4 The comment letter received on the proposed rule change is available on the Commission’s website at …
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 …
Publication
Preliminary_Official_Statement
… rc um st an ce s s ha ll th is P re lim in ar y O ff ic ia l S ta te m en t c on st itu te a n of fe r t o se ll or th e s ol ic ita tio n of a n of fe r t o bu y no r s ha ll th er e b e a ny … e se cu ri tie s l aw s o f a ny su ch ju ri sd ic tio n. PRELIMINARY OFFICIAL STATEMENT DATED MAY 19, 2011 This document is "deemed final" by the Issuer as of its date for purposes of, and …
Publication
SR-MSRB-2005-12.pdf
… Pilot Municipal Securities Rulemaking Board 12-2005 Amendment No. File No. SR - Walsh cwalsh@msrb.org (703) 797-6600Telephone E-mail First Name Signature Pursuant to the requirements of the … 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 …
Publication
SR-MSRB-2005-12.pdf
… Pilot Municipal Securities Rulemaking Board 12-2005 Amendment No. File No. SR - Walsh cwalsh@msrb.org (703) 797-6600Telephone E-mail First Name Signature Pursuant to the requirements of the … 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 …
Publication
MSRB-2013-04-FR-Notice.pdf
… U.S.C. 78s(b)(2). 25 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 See letter dated February 26, 1999 from Catherine McGuire, Chief Counsel, Division of Market … (CCH) File No. 032299033 (Feb. 26, 1999). 4 The term municipal fund security is defined in MSRB Rule D–12 to mean a municipal security issued by an issuer that, but for the application of …
Publication
MSRB-2013-04-FR-Notice.pdf
… U.S.C. 78s(b)(2). 25 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 See letter dated February 26, 1999 from Catherine McGuire, Chief Counsel, Division of Market … (CCH) File No. 032299033 (Feb. 26, 1999). 4 The term municipal fund security is defined in MSRB Rule D–12 to mean a municipal security issued by an issuer that, but for the application of …
Publication
MSRB-Rule-Book-January-2001
… III MsRB Municipal Securities Rulemaking Board January 1, 2001 The rules contained in this Rule Book … of Other Municipal Securities Professionals Availability of Board Rules . Page . 15 18 19 . . 31 32 . . 33 35 . . 37 51 55 60 . . 87 89 . . 92 118 . . 119 . 127 . . 128 130 . . 131 134 . . …
Publication
MSRB-Rule-Book-July-2000
… The most up-to-date version of the Board's rules is posted on the Board's web site at www. msrb. org. Copyright 2000 Municipal Securities Rulemaking Board ~ ~ TABLE OF CONTENTS History and … by Brokers, Dealers and Municipal Securities Dealers Preservation of Records. Page 15 19 . . 31 32 33 . . 35 . . 37 . . 51 G-10 G-11 G-12 G-13 G-14 G-15 G-16 G-17 G-18 Delivery of Investor …
Publication
MSRB-Rule-Book-July-2001
… ill MSRB Municipal Securities Rulemaking Board JuIy 1, 2001 The rules contained in this Rule Book … terms. Five new Board members are elected each year. Strict rules require that no Board member may succeed him or herself in office, nor may a broker-dealer or bank representative be succeeded … or enforcement powers, an important aspect of its rulemaking activities involves the on-going interpretation of its rules. This is done by means of interpretive letters and notices. The Board …
Publication
MSRB-2024-03-Federal-Register
… proposed information collection should be sent within 30 days of publication of this notice by May 20, 2024 to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, Director/Chief … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–99949; File No. SR–MSRB– 2024–03] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of … 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 April 12, 2024. Pursuant to …
