130 Results Found
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 the MSRB’s rules is posted on the MSRB’s website at MSRB.org. ©2024 Municipal Securities Rulemaking … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
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 … activities involves the ongoing interpretation of its rules. This is done by means of interpretive letters and notices. MSRB Rules MSRB rules reflect the special characteristics of … identifiable department or division of a bank. This will acknowledge receipt of your letter of November 12, 1975, in which you request, on behalf of the Dealer Bank As- sociation, an …
Publication
2022-03-Federal-Register.pdf
… 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 … Revenue with Rate Card Model Compared to Historical and Pro Forma Expenses.’’ 51 See, e.g., letter from Mike Nicholas, Chief Executive Officer, Bond Dealers of America (‘‘BDA’’), (Jan. 11, … of the Technical Amendments and will be archived by relocating it to a dedicated MSRB Archived Interpretive Guidance page at: www.msrb.org/Rules- …
Publication
2022-03-Federal-Register.pdf
… 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 … Revenue with Rate Card Model Compared to Historical and Pro Forma Expenses.’’ 51 See, e.g., letter from Mike Nicholas, Chief Executive Officer, Bond Dealers of America (‘‘BDA’’), (Jan. 11, … of the Technical Amendments and will be archived by relocating it to a dedicated MSRB Archived Interpretive Guidance page at: www.msrb.org/Rules- …
Publication
MSRB-2016-12.pdf
… 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 … The MSRB received 30 comments in response to MSRB Notice 2014-20,50 and 25 comments 50 See Letter from Eric Bederman, Chief Operating and Compliance Officer, Bernardi Securities, dated … terminology can result (and regrettably have resulted) in divergent regulatory approaches and interpretive guidance over time – which, in turn, increase the risk of noncompliance and the need …
Publication
MSRB-2015-03-REVISED.pdf
… 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 … a bilateral agreement, a municipal advisor could send its client a writing, such as a letter that references the procurement document and contains the terms and disclosures required … The proposed rule change would adopt, and apply to municipal advisors, the existing MSRB interpretive guidance regarding the general principles currently applicable to dealers for …
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
… 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, … a bilateral agreement, a municipal advisor could send its client a writing, such as a letter that references the procurement document and contains the terms and disclosures required … The proposed rule change would adopt, and apply to municipal advisors, the existing MSRB interpretive guidance regarding the general principles currently applicable to dealers for …
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 … to disseminate primary market disclosure documents. In November 1998, the MSRB published an interpretive notice that, among other things, permits dealers to deliver official statements to … Recently, The Bond Market Association’s (TBMAs) Municipal Credit Research Committee wrote a letter to the GFOA, the National Association of Bond Lawyers (NABL), and the National Association …
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 … 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 … dealer’s municipal securities business if the merger was not an attempt to circumvent the letter or spirit of rule G-37. [ Thus, the Board believes that it would be appropriate for the …
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 … settled. Interpretation Relating to Sales of Municipal Fund Securities in the Primary Market . Interpretive guidance is provided in connection with the application of rules G-23, G-32, G-36, … Network, Special Report on State and College Savings Plans (1998) (the “CSPN Report”). [6] Letter dated February 26, 1999 from Catherine McGuire, Chief Counsel, Division of Market …
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 … framework to the dealer operator’s activities. [6] See also MuniAuction, Inc., SEC No-Action Letter (March 13, 2000) (expressing opinion that the system operator is a broker within the …
Regulatory Document
Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements
… Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements MSRB-2017-02.pdf March 22, 2017 … Notice of proposed change pursuant to the Payment, Clearing, … from Garth Schulz, Castle Advisory Company LLC, dated September 30, 2016 (“Castle Advisory”); Letter from Jeff White, Principal, Columbia Capital Management, LLC, dated November 11, 2016 … requested that the MSRB “provid[e] more specific guidance on required subjects with further interpretive guidance describing information to be covered on core concepts within the municipal …
Regulatory Document
MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice
… MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice MSRB Notice 2011-48 August 23, 2011 On August 23, 2011, the Municipal … will be deemed to have consented to conflicts that are clearly described in its engagement letter or other written contract with the municipal advisor, if the municipal entity expressly …
