132 Results Found
Publication
SR-MSRB-2011-12.pdf
… Rulemaking Board 12- *2011 Amendment No. (req. for Amendments *) File No.* SR - Henry phenry@msrb.org (703) 797-6600Telephone * E-mail * First Name * Signature Pursuant to the requirements … backgrounds and asterisks. Page 1 of * 183 OMB APPROVAL OMB Number: 3235-0045 Expires: August 31, 2011 Estimated average burden hours per response............38 Rule Date Expires * If 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-2011-12.pdf
… Rulemaking Board 12- *2011 Amendment No. (req. for Amendments *) File No.* SR - Henry phenry@msrb.org (703) 797-6600Telephone * E-mail * First Name * Signature Pursuant to the requirements … backgrounds and asterisks. Page 1 of * 183 OMB APPROVAL OMB Number: 3235-0045 Expires: August 31, 2011 Estimated average burden hours per response............38 Rule Date Expires * If 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-2014-05.pdf
… Rulemaking Board 05- *2014 Amendment No. (req. for Amendments *) File No.* SR - Sandor lsandor@msrb.org (703) 797-6600Telephone * 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 …
Publication
MSRB-2014-05.pdf
… Rulemaking Board 05- *2014 Amendment No. (req. for Amendments *) File No.* SR - Sandor lsandor@msrb.org (703) 797-6600Telephone * 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 …
Publication
MSRB-2017-02-Federal-Register.pdf
… 2 17 CFR 240.19b–4. 3 Municipal advisor would have the same meaning as in Section 15B(e)(4) of the Act, 17 CFR 240.15Ba1–1(d)(1)–(4) and other rules and regulations thereunder. 4 On February 26, 2015, the MSRB received approval from the SEC amending Rule G–3 to establish two new registration … date of January 1, 2018. Municipal advisors would, therefore, have until December 31, 2018 to complete a needs analysis, develop a written training plan and deliver the …
Publication
MSRB-2017-02-Federal-Register.pdf
… 2 17 CFR 240.19b–4. 3 Municipal advisor would have the same meaning as in Section 15B(e)(4) of the Act, 17 CFR 240.15Ba1–1(d)(1)–(4) and other rules and regulations thereunder. 4 On February 26, 2015, the MSRB received approval from the SEC amending Rule G–3 to establish two new registration … date of January 1, 2018. Municipal advisors would, therefore, have until December 31, 2018 to complete a needs analysis, develop a written training plan and deliver the …
Regulatory Document
Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)
… and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994) December 16, 2015 All Rule G-37 interpretive guidance for dealers shall apply to the analogous interpretive issues for municipal advisors, with the exception of interpretive guidance issued on February 21, 1997, and April 2, 2002. See Notice of Filing of … recordkeeping and disclosure provisions apply to non-MFP executive officers of the dealer. (May 24, 1994) II. PROHIBITION ON ENGAGING IN MUNICIPAL SECURITIES BUSINESS (Rule G-37(b)) II.1 Q: …
Publication
SR-MSRB-2006-1.pdf
… Pilot Municipal Securities Rulemaking Board 01-2006 Amendment No. File No. SR - Lanza elanza@msrb.org (703) 797-6600Telephone E-mail First Name Signature Pursuant to the requirements of the … Exchange Act of 1934 Description Proposed rule change to delete obsolete Question-and-Answer interpretive guidance under former Rule G-38, on consultants, and certain Question-and-Answer … 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-2006-1.pdf
… Pilot Municipal Securities Rulemaking Board 01-2006 Amendment No. File No. SR - Lanza elanza@msrb.org (703) 797-6600Telephone E-mail First Name Signature Pursuant to the requirements of the … Exchange Act of 1934 Description Proposed rule change to delete obsolete Question-and-Answer interpretive guidance under former Rule G-38, on consultants, and certain Question-and-Answer … 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-2015-14-Federal-Register-Notice.pdf
… 3 15 U.S.C. 78o–4. 4 Pub. L. 111–203, 124 Stat. 1376 (2010). 5 See Section 15B(a)(1)(B) of the Exchange Act (15 U.S.C. 78o–4(a)(1)(B)). 6 See Section 15B(a)(5) of the Exchange Act (15 … 15B(b)(2) of the Exchange Act (15 U.S.C. 78o–4(b)(2)). 8 In furtherance of this framework, the MSRB adopted Rule G–44 regarding the supervisory and compliance obligations of municipal … Rule G– 42, regarding duties of non-solicitor municipal advisors. See Release No. 34–74860 (May 4, 2015), 80 FR 26752 (May 8, 2015) (File No. SR–MSRB– 2015–03) (notice of filing and request …
Publication
MSRB-2015-14-Federal-Register-Notice.pdf
… 3 15 U.S.C. 78o–4. 4 Pub. L. 111–203, 124 Stat. 1376 (2010). 5 See Section 15B(a)(1)(B) of the Exchange Act (15 U.S.C. 78o–4(a)(1)(B)). 6 See Section 15B(a)(5) of the Exchange Act (15 … 15B(b)(2) of the Exchange Act (15 U.S.C. 78o–4(b)(2)). 8 In furtherance of this framework, the MSRB adopted Rule G–44 regarding the supervisory and compliance obligations of municipal … Rule G– 42, regarding duties of non-solicitor municipal advisors. See Release No. 34–74860 (May 4, 2015), 80 FR 26752 (May 8, 2015) (File No. SR–MSRB– 2015–03) (notice of filing and request …
Publication
MSRB-2017-02.pdf
… 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 … date of January 1, 2018. Municipal advisors would, therefore, have until December 31, 2018 to complete a needs analysis, develop a written training plan and deliver the …
Publication
MSRB-2015-14.pdf
… Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 Section … 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 …
Publication
All Comments to Notice 2019-13
… Municipal Securities Rulemaking Board 1300 I Street, NW Suite 1100 Washington, DC 20005 RE: MSRB Notice 2019-13 Dear Mr. Smith: Acacia Financial Group, Inc. (“Acacia”) is a national … underwriting, the perception on the part of the issuers and investors that such a conflict may exist was sufficient to cause concern that permitting role switching was not consistent with … the rule is functioning and where improvements and efficiencies can be implemented. In this letter we discuss several of the questions the MSRB poses in Notice 2019-13. The BDA believes …
Publication
MSRB-2013-07.pdf
… Rulemaking Board 07- *2013 Amendment No. (req. for Amendments *) File No.* SR - Post mpost@msrb.org (703) 797-6600Telephone * 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 … G-48, on sophisticated municipal market professionals (“SMMPs”), and the proposed deletion of interpretive guidance that is being superseded by these rule changes (the “proposed rule …
Publication
MSRB-2013-07.pdf
… Rulemaking Board 07- *2013 Amendment No. (req. for Amendments *) File No.* SR - Post mpost@msrb.org (703) 797-6600Telephone * 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 … G-48, on sophisticated municipal market professionals (“SMMPs”), and the proposed deletion of interpretive guidance that is being superseded by these rule changes (the “proposed rule …
Publication
SR-MSRB-2013-01-FR-Filing.pdf
… 10656 Federal Register / Vol. 78, No. 31 / Thursday, February 14, 2013 / Notices 16 See proposed FINRA Rule 6440, Supplementary … Extraordinary Event Halt, trading and quotations in the OTC market for the OTC Equity Security may resume when FINRA determines that the basis for the halt no longer exists, or when ten … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–68872; File No. SR–MSRB– 2013–01] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Publication
SR-MSRB-2013-01-FR-Notice.pdf
… 10656 Federal Register / Vol. 78, No. 31 / Thursday, February 14, 2013 / Notices 16 See proposed FINRA Rule 6440, Supplementary … Extraordinary Event Halt, trading and quotations in the OTC market for the OTC Equity Security may resume when FINRA determines that the basis for the halt no longer exists, or when ten … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–68872; File No. SR–MSRB– 2013–01] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Publication
SR-MSRB-2013-01-FR-Filing.pdf
… 10656 Federal Register / Vol. 78, No. 31 / Thursday, February 14, 2013 / Notices 16 See proposed FINRA Rule 6440, Supplementary … Extraordinary Event Halt, trading and quotations in the OTC market for the OTC Equity Security may resume when FINRA determines that the basis for the halt no longer exists, or when ten … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–68872; File No. SR–MSRB– 2013–01] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Publication
SR-MSRB-2013-01-FR-Notice.pdf
… 10656 Federal Register / Vol. 78, No. 31 / Thursday, February 14, 2013 / Notices 16 See proposed FINRA Rule 6440, Supplementary … Extraordinary Event Halt, trading and quotations in the OTC market for the OTC Equity Security may resume when FINRA determines that the basis for the halt no longer exists, or when ten … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–68872; File No. SR–MSRB– 2013–01] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Publication
SR-MSRB-2005-04.pdf
… Pilot Municipal Securities Rulemaking Board 04-2005 Amendment No. File No. SR - Lanza elanza@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 … dealer or municipal securities dealer must send its Form G-37/G-38 to the Board (i.e., January 31, April 30, July 31 or October 31); and (2) no further payments, including payments owed for …
Publication
SR-MSRB-2005-04.pdf
… Pilot Municipal Securities Rulemaking Board 04-2005 Amendment No. File No. SR - Lanza elanza@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 … dealer or municipal securities dealer must send its Form G-37/G-38 to the Board (i.e., January 31, April 30, July 31 or October 31); and (2) no further payments, including payments owed for …
Publication
SR-MSRB-2013-01.pdf
… Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 Section … Rulemaking Board 01- *2013 Amendment No. (req. for Amendments *) File No.* SR - Carey lcarey@msrb.org (703) 797-6600Telephone * 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 …
Publication
SR-MSRB-2013-01.pdf
… Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 Section … Rulemaking Board 01- *2013 Amendment No. (req. for Amendments *) File No.* SR - Carey lcarey@msrb.org (703) 797-6600Telephone * 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 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 …
