132 Results Found
Publication
MSRB Rule Book October 2025
… 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-2013
… 3 Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 | Alexandria, VA 22314 www.msrb.org | http://emma.msrb.org MUNICIPAL SECURITIES RULEMAKING BOARD RULE BOOK 2013 January 1, … 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-2017
… 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. ©2017 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-2017
… 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. ©2017 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-October-2017
… 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. ©2017 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-2017.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 website at msrb.org. ©2017 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-2018
… 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. ©2018 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-October-2022_0.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 website at MSRB.org. ©2022 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 October 2023
… 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. ©2023 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 October 2024
… 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. ©2024 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-FY-21.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 website at MSRB.org. ©2020 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 October 2020
… 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. ©2020 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 October 2021
… 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. ©2021 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-October-1-2018
… 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. ©2018 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-FY-2019.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 website at MSRB.org. ©2019 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 October 2019
… 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. ©2019 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
2022-03-Federal-Register.pdf
… submitted in writing within 60 days of this publication by August 15, 2022. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of … DC 20549–2736 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) is … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–95075; File No. SR–MSRB– 2022–03] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Publication
2022-03-Federal-Register.pdf
… submitted in writing within 60 days of this publication by August 15, 2022. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of … DC 20549–2736 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) is … BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–95075; File No. SR–MSRB– 2022–03] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of …
Publication
MSRB-2016-12.pdf
… Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 Section … 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 … 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-2015-03-REVISED.pdf
… Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 Section … Rulemaking Board 03- *2015 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 …
Regulatory Document
Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
… Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors MSRB-2015-03-REVISED.pdf April 24, 2015 … Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 Section … 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
MSRB Discussion Paper on Disclsoure in the Municipal Securities Market
… MSRB Discussion Paper on Disclsoure in the Municipal Securities Market MSRB Notice 2000-35 … the investor base and unique trading patterns. There are over 80,000 governmental units that may issue municipal securities. [1] These issuers include not only states and local … disclosures designed for the secondary market. As discussed below, this began to change in 1995 with the adoption of the continuing disclosure amendments to Exchange Act Rule 15c2-12 …
Regulatory Document
Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions
… for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions MSRB Notice 2002-12 April 02, 2002 Comments are due by June 3, 2002 In June 2001, the Municipal … intended to maintain its effectiveness while seeking to determine whether further refinements may be called for, given the experience of the industry during the last seven years. The MSRB … dealers as selling group members. As discussed in detail below, the MSRB is publishing an interpretive notice on the effect of a ban on business under Rule G-37 arising during a …
Regulatory Document
Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions
… Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions MSRB Notice 2000-30 September 28, 2000 The Municipal Securities Rulemaking Board (“MSRB”) is … on the draft interpretive guidance should be submitted no later than December 1, 2000, and may be directed to Carolyn Walsh, Assistant General Counsel, or Ernesto A. Lanza, Associate …
Regulatory Document
Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission
… Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission MSRB Notice 2000-15 April 05, 2000 The Municipal Securities Rulemaking Board has filed with the … with new issues, and rule G-34, on CUSIP numbers and new issue requirements; and (iii) an MSRB interpretation relating to sales of municipal fund securities in the primary market. The … changes published on March 17, 1999 (the “March Notice”). [3] The MSRB received seven comment letters on the August Notice. After reviewing these comments, the MSRB approved the draft rule …
