MSRB Issues Warning on Pay-to-Play
- Political Foes Hit Rule G-37. Hume, Lynn // Bond Buyer;10/16/2001, Vol. 338 Issue 31244, p1
Reports the cooperation of the rivals, Republican and Democratic National Committees in the urge to revise provisions of Rule G-37. Letter to the Municipal Securities Rule-making Board for the request of revisions; Overview on Rule G-37; Complaints raised by both committees.
- MSRB Wants to Strengthen to G-37 to Avoid Indirect Violations. // Bond Buyer;2/16/2005, Vol. 351 Issue 32072, p33
The article discusses the issuance of G-37, a rule governing supervisory issues on soliciting payment to political parties, by the Municipal Securities Rulemaking Board (MSRB) in the U.S. Emphasis on the importance of the rule to prohibit employees from trying to take advantage of fund...
- Making Use of Consultants Payments by Firms Up 70% Since 1998. Hume, Lynne // Bond Buyer;9/29/2003, Vol. 345 Issue 31729, p1
Part I. Reports on the multi-million dollar payment made by top-ranked municipal securities underwriters to consultants who are making political contributions to issuer and other officials in the U.S. Statement of Christopher Taylor, executive director of Municipal Securities Rulemaking Board;...
- Anticipating Municipal Advisor Regulation. DOTY, ROBERT // Bond Buyer;1/29/2013, Vol. 383 Issue 33852, p7
The article reflects on the regulation of the municipal advisor from the U.S. Municipal Securities Rulemaking Board. He mentions that the regulation offers an anticipation for huge improvements in the U.S. bond market and provides advice to municipal entities and obligated parties. He also...
- MSRB Issues Tougher Plan For Rule G-38. Hume, Lynn // Bond Buyer;9/30/2004, Vol. 349 Issue 31980, p1
Reports on the issuance of a revised proposal for overhauling its Rule G-38 on consultants by the Municipal Securities Rulemaking Board in Washington. Description on the revised proposal; Usability of the revised proposal; Components of the rules.
- MSRB and NASD Warn Broker-Dealers About Rules for Trade Reporting. Hume, Lynn // Bond Buyer;3/4/2003, Vol. 343 Issue 31585, p5
Reports on issuance of joint notices by the Municipal Securities Rulemaking Board and the National Association of Securities Dealers Inc. warning broker dealers about the importance of reporting timely and accurately data on trades of municipal securities. Overview of the notice; Sponsors of...
- Notices: SECURITIES AND EXCHANGE COMMISSION. // Federal Register (National Archives & Records Service, Office of;1/14/2014, Vol. 79 Issue 9, p2482
The article provides information on the notices issued by the U.S. Securities and Exchange Commission (SEC) as of January 14, 2014. Topics discussed include a closed meeting of the agency on January 16, the proposed rule change to amend Rules A-12 of the Municipal Securities Rulemaking Board...
- MSRB Notice Details MA Conduct Requirements; Webinar Planned. Casey, Jack // Bond Buyer;1/14/2016, p1
The Municipal Securities Rulemaking Board on Tuesday released a regulatory notice detailing new core conduct requirements for municipal advisors.
- Proposed G-37 Changes Raise Constitutionality Questions. Hume, Lynn // Bond Buyer;4/8/2005, Vol. 352 Issue 32107, p4
Reports on the reaction of some dealer firms and groups to the proposal of the U.S. Municipal Securities Rulemaking Board for changes to the Rule G-37 on political contributions. Purpose of Rule G-37; Issuance of the guidance stressing the temporary ban for dealers making contributions to...