132 Results Found
Publication
SR-MSRB-2011-15.pdf
… Rulemaking Board 15- *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 … * Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 Description Proposed interpretive notice concerning the application of MSRB Rule G-17 to municipal advisors Ronald … backgrounds and asterisks. Page 1 of * 142 OMB APPROVAL OMB Number: 3235-0045 Expires: August 31, 2011 Estimated average burden hours per response............38 Rule Date Expires * If the …
Publication
SR-MSRB-2011-15.pdf
… Rulemaking Board 15- *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 … * Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 Description Proposed interpretive notice concerning the application of MSRB Rule G-17 to municipal advisors Ronald … backgrounds and asterisks. Page 1 of * 142 OMB APPROVAL OMB Number: 3235-0045 Expires: August 31, 2011 Estimated average burden hours per response............38 Rule Date Expires * If the …
Publication
SR-MSRB-2013-07-FR-Notice.pdf
… 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 This also includes proposed technical revisions to MSRB Rule G–8, on books and records, to conform Rule G–8 with the proposed revisions to Rule … consolidated and condensed into proposed Rule G–47 was derived from the following Rule G– 17 interpretive notices: Guidance on Disclosure and Other Sales Practice Obligations to Individual …
Publication
SR-MSRB-2013-07-FR-Notice.pdf
… 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 This also includes proposed technical revisions to MSRB Rule G–8, on books and records, to conform Rule G–8 with the proposed revisions to Rule … consolidated and condensed into proposed Rule G–47 was derived from the following Rule G– 17 interpretive notices: Guidance on Disclosure and Other Sales Practice Obligations to Individual …
Publication
MSRB-Rule-Book-January-2002
… III MSRB Municipal Securities Rulemaking Board January 1, 2002 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 …
Publication
Letter-to-Chairman-Hensarling-11-29-18.pdf
… Operations, Initiatives and Activities Dear Chairman Hensarling, I am responding to your letter dated November 6, 2018 requesting an update on the Municipal Securities Rulemaking Board’s (MSRB) operations, initiatives and activities, including the status of the MSRB’s initiatives …
Publication
MSRB-Rule-Book-July-2002
… 11 MsRB Municipal Securities Rulemaking Board July 1, 2002 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 …
Publication
SR-MSRB-2011-14.pdf
… Rulemaking Board 14- *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 … 1934 Description Proposed Rule G-36, on fiduciary duty of municipal advisors, and a proposed interpretive notice concerning the application of proposed Rule G-36 to municipal advisors Ronald … backgrounds and asterisks. Page 1 of * 176 OMB APPROVAL OMB Number: 3235-0045 Expires: August 31, 2011 Estimated average burden hours per response............38 Rule Date Expires * If the …
Publication
SR-MSRB-2011-14.pdf
… Rulemaking Board 14- *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 … 1934 Description Proposed Rule G-36, on fiduciary duty of municipal advisors, and a proposed interpretive notice concerning the application of proposed Rule G-36 to municipal advisors Ronald … backgrounds and asterisks. Page 1 of * 176 OMB APPROVAL OMB Number: 3235-0045 Expires: August 31, 2011 Estimated average burden hours per response............38 Rule Date Expires * If the …
Publication
MSRB-2020-02-Notice.pdf
… 28082 Federal Register / Vol. 85, No. 92 / Tuesday, May 12, 2020 / Notices 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 17 CFR 240.15l–1; see also … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–88828; File No. SR–MSRB– 2020–02] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Publication
MSRB-2020-02-Notice.pdf
… 28082 Federal Register / Vol. 85, No. 92 / Tuesday, May 12, 2020 / Notices 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 17 CFR 240.15l–1; see also … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–88828; File No. SR–MSRB– 2020–02] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Regulatory Document
Technical Revisions and Reorganization of Rule G-37 Qs & As
… Technical Revisions and Reorganization of Rule G-37 Qs & As MSRB Notice 2003-41 October 30, 2003 Since the adoption of Rule G-37, on political contributions … and complying with the provisions of the rule, the MSRB has published a series of interpretive notices that set forth, in Q & A format, general guidance on Rule G-37. On May 8, …
Publication
MSRB-Rule-Book-January-2005
… MSRB Municipal Securities Rulemaking Board January 1, 2005 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 …
Publication
MSRB-Rule-Book-January-2006
… MSRB Municipal Securities Rulemaking Board January 1, 2006 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 …
Publication
MSRB-Rule-Book-January-2007
… II MsRB Municipal Securities Rulemaking Board January 1, 2007 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 …
Publication
MSRB-Rule-Book-January-2003
… Municipal Securities Rulemaking Board 777' JANUARY 1, 2003 II MSRB Municipal Securities Rulemaking Board January 1, 2003 The rules contained in this Rule Book …
Publication
MSRB-Rule-Book-July-2007
… MSRB Municipal Securities Rulemaking Board July 1, 2007 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 …
Publication
MSRB-Rule-Book-July-2006
… II MSRB Municipal Securities Rulemaking Board July 1, 2006 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 …
Publication
MSRB-2015-07.pdf
… Rulemaking Board 07- *2015 Amendment No. (req. for Amendments *) File No.* SR - Jones ljones@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 … Rule 19b-4(f)(6) thereunder, and is not filing the question banks for Commission review. See letter to Diane G. Klinke, General Counsel, MSRB, from Belinda Blaine, Associate Director, …
Publication
MSRB-Rule-Book-July-2005
… MSRB Municipal Securities Rulemaking Board July 1, 2005 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 …
Publication
MSRB-Rule-Book-January-2008
… Municipal Securities Rulemaking Board JANUARY 1, 2008 I MSRB Municipal Securitie. Rulemaking Board January 1, 2008 The rules contained in this Rule Book …
Publication
MSRB-Rule-Book-July-2003
… Municipal Securities Rulemaking Board JULY 1, 2003 III MSRB Municipal Securities Rulemaking Board July 1, 2003 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 …
Publication
MSRB-Rule-Book-January-2004
… MSRB Municipal Securities Rulemaking Board January 1, 2004 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 …
Publication
MSRB-Rule-Book-October-2014
… in this Rule Book were in effect as of the above date. The most up-to-date version of the MSRB’s rules is posted on the MSRB’s website at msrb.org. Copyright ©2014 Municipal Securities … confirmation sent to the customer and to act in accordance with any written instructions which may be provided by the employing dealer with respect to transactions effected with or for such an … comment and provides for public comment pe- riods. In the earliest stages of rulemaking, the MSRB may issue a concept proposal. A concept proposal assists the Board in assessing whether to …
Publication
MSRB-Rule-Book-April-2015
… in this Rule Book were in effect as of the above date. The most up-to-date version of the MSRB’s rules is posted on the MSRB’s website at msrb.org. ©2015 Municipal Securities Rulemaking … confirmation sent to the customer and to act in accordance with any written instructions which may be provided by the employing dealer with respect to transactions effected with or for such an … comment and provides for public comment pe- riods. In the earliest stages of rulemaking, the MSRB may issue a concept proposal. A concept proposal assists the Board in assessing whether to …
