132 Results Found
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 … 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 …
Regulatory Document
Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms
… and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms MSRB-2015-14.pdf December 16, 2015 … 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 …
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 …
Regulatory Document
Municipal Fund Securities - Revised Draft Rule Changes
… Municipal Fund Securities - Revised Draft Rule Changes MSRB Notice 1999-24 August 27, 1999 The Board is requesting further comments on revised draft … for further comment from industry participants. The Board believes that many of the comments reflect a misunderstanding of the nature of the Board's rulemaking proposals and … types of state or local governmental programs involving investment interests in which dealers may effect transactions: pooled investment funds under trusts established by state or local …
Regulatory Document
Revisions to the Content Outlines for the Series 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination
… 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination MSRB-2015-07.pdf July 31, 2015 … signature, and once signed, this form cannot be changed. Corporate Secretary (Title *) 07/31/2015Date Provide the name, telephone number, and e-mail address of the person on the staff of … 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 …
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MSRB Reports Volume 16 Number 1, January 1996
… MSRB Reports Volume 16 Number 1, January 1996 Volume 16, Number 1 -- January 1996 From the … of the municipal securities market. David Clapp, chairman at that time, indicated in his letter to the industry that this effort would likely take several years to complete. "Pay to … we thank all of you for making G-37 so effective. While all issues relating to "pay to play" may not be fully resolved, these rules should go a long way to answering critics of the municipal …
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Retired Interpretive Guidance - May 10, 2021
… Retired Interpretive Guidance - May 10, 2021 Retired Interpretive Guidance - May 10, 2021 The following pieces of guidance were retired on May 10, 2021 as part of an MSRB effort to streamline the MSRB rule book. See MSRB Notice 2021-02 for additional information. …
