132 Results Found
Publication
MSRB-Rule-Book-January-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 …
Publication
MSRB-Rule-Book-July-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 …
Publication
MSRB-Rule-Book-October-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 …
Publication
MSRB-Rule-Book-January-2016
… 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. ©2016 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 … for comment and provides for public comment periods. In the earliest stages of rulemaking, the MSRB may issue a concept proposal. A concept proposal as- sists the Board in assessing whether to …
Publication
MSRB-Rule-Book-April-2016
… 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. ©2016 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 … for comment and provides for public comment periods. In the earliest stages of rulemaking, the MSRB may issue a concept proposal. A concept proposal as- sists the Board in assessing whether to …
Publication
MSRB-Rule-Book-July-2016
… 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. ©2016 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 … for comment and provides for public comment periods. In the earliest stages of rulemaking, the MSRB may issue a concept proposal. A concept proposal as- sists the Board in assessing whether to …
Publication
MSRB-Rule-Book-2009
… 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 web site at www.msrb.org. ii … or en- forcement powers, an important aspect of its rulemaking activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. The MSRB also closely coordinates with the organizations …
Publication
MSRB-Rule-Book-July-2004
… Municipal Securities Rulemaking Board JULY 1, 2004 III MsRB ~ ~ TABLE OF CONTENTS History and Organization of the MSRB . . Officers and Members … 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-2012
… MUNICIPAL SECURITIES RULEMAKING BOARD RULE BOOK 2012 M S R B R ule B ook 2012 www.msrb.org http://emma.msrb.org Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 … 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 … or enforcement powers, an important aspect of its rulemaking activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB …
Publication
SR-MSRB-2005-11.pdf
… Pilot Municipal Securities Rulemaking Board 11-2005 Amendment No. File No. SR - Lanza elanza@msrb.org (703) 797-6600Telephone E-mail First Name Signature Pursuant to the requirements of the … under the Securities Exchange Act of 1934 Description Proposed rule change consisting of an interpretive notice relating to the definition of solicitation for purposes of MSRB Rule G-37, on … 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-2005-11.pdf
… Pilot Municipal Securities Rulemaking Board 11-2005 Amendment No. File No. SR - Lanza elanza@msrb.org (703) 797-6600Telephone E-mail First Name Signature Pursuant to the requirements of the … under the Securities Exchange Act of 1934 Description Proposed rule change consisting of an interpretive notice relating to the definition of solicitation for purposes of MSRB Rule G-37, on … 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
GBaumCo2.pdf
… Sent: Friday, August 07, 2009 3:06 PM To: Leslie Carey Cc: Bob Dalton Subject: MSRB Notice 2009-35 (June 22, 2009) Importance: High August 7, 2009 Leslie Carey, Esq. Associate … (June 22, 2009) Dear Ms. Carey: This supplements George K. Baum & Company's July 30, 2009, letter to you regarding this matter. As you requested during our telephone conversation earlier … dispositively any arguments or concerns that contributions to bond ballot campaign committees may "have the potential to result in actual pay-to-play practices or the perception of …
Publication
MSRB-Rule-Book-July-1999
… The most up-to-date version of the Board's rules is posted on the Board's Web site at www. msrb. org. Copyright 1999 Municipal Securities Rulemaking Board TABLE OF CONTENTS History and … and Municipal Securities Dealers Preservation of Records. Page . . 15 . 18 . . 19 . . 30 . . 31 32 . . 34 . . 36 . 50 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-January-1999
… The most up-to-date version of the Board's rules is posted on the Board's Web site at www. msrb. org. Copyright 1999 Municipal Securities Rulemaking Board ~ ~ ~ TABLE OF CONTENTS History … and Municipal Securities Dealers . Preservation of Records. Page . 15 . . 18 . . 19 . . 30 . . 31 . . 32 . . 34 36 50 G-10 G-11 G-12 Delivery of Investor Brochure . . Sales of New Issue …
Publication
MSRB-Rule-Book-January-2000
… The most up-to-date version of the Board's rules is posted on the Board's web site at www. msrb. org. ~ ~ TABLE OF CONTENTS History and Organization of the MSRB. Officers and Members … Dealers and Municipal Securities Dealers Preservation of Records. . Page 15 . . 18 . . 30 . 31 . . 32 . . 36 . . 50 G-10 G-11 G-12 G-13 G-14 G-15 G-16 G-17 G-18 Delivery of Investor …
Publication
2010-Rulebook.pdf
… R I T I E S R U L E M A K I N G B O A R D 1900 Duke Street, Suite 600 Alexandria, VA 22314 www.msrb.org www.emma.msrb.org M SR B Rule B o o k 2 0 1 0 2010 i January 1, 2010 The rules contained 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 web …
Publication
MSRB-Rule-Book-2010
… R I T I E S R U L E M A K I N G B O A R D 1900 Duke Street, Suite 600 Alexandria, VA 22314 www.msrb.org www.emma.msrb.org M SR B Rule B o o k 2 0 1 0 2010 i January 1, 2010 The rules contained 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 web …
Publication
MSRBWrittenTestimonyBeforetheSenateBankingCommittee_032609.pdf
… Embargoed until March 26, 2009, at 1:00 pm Statement of Ronald A. Stack, Chair Municipal Securities Rulemaking Board on Transparency and Regulation in … of the Committee. I am Ronald Stack, Chair of the Municipal Securities Rulemaking Board (“MSRB” or “Board”). I am pleased to testify today on behalf of the MSRB at the Committee’s second … rules to remove the conflict of interest that can arise when political contributions may be used by dealers to obtain municipal securities business. We also seek to coordinate our …
Publication
MSRB-Rule-Book-October-2016
… 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. ©2016 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 … for comment and provides for public comment periods. In the earliest stages of rulemaking, the MSRB may issue a concept proposal. A concept proposal as- sists the Board in assessing whether to …
Publication
MSRB-Rule-Book-January-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-July-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-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
MSRBRulebook.pdf
… 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 web site at www.msrb.org. Copyright ©2011 Municipal … activities involves the ongoing interpreta- tion of its rules. This is done by means of interpretive letters and notices. The MSRB also closely coordinates with the or- ganizations … shall terminate on September 30 of the year in which their terms expire. A member of the Board may serve additional terms as a Board member upon nomination and election for each such …
Publication
MSRB-Rule-Book-Current-Version.pdf
… in this Rule Book were in effect as of the above date. The most up-to-date version of MSRB’s rules is posted on MSRB’s website at MSRB.org. ©2025 Municipal Securities Rulemaking Board … market participants to assist in identifying issues in the municipal securities market that may warrant rulemaking. Once an issue is identified, MSRB explores alter- natives to rulemaking … for comment and provides for public comment periods. In the earliest stages of rulemaking, MSRB may issue a concept proposal. A concept proposal assists the Board in assessing whether to …
Publication
MSRB Rule Book Current Version
… in this Rule Book were in effect as of the above date. The most up-to-date version of MSRB’s rules is posted on MSRB’s website at MSRB.org. ©2025 Municipal Securities Rulemaking Board … market participants to assist in identifying issues in the municipal securities market that may warrant rulemaking. Once an issue is identified, MSRB explores alter- natives to rulemaking … for comment and provides for public comment periods. In the earliest stages of rulemaking, MSRB may issue a concept proposal. A concept proposal assists the Board in assessing whether to …
