SEC Approves MSRB Annual-Fee Hike for Muni Securities Firms
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE Arca Trades Data Product. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;7/19/2012, Vol. 77 Issue 139, p42529
The article offers information on the proposed change of rule filed by the New York Stock Exchange (NYSE) Arca Inc. with the Securities and Exchange Commission (SEC) for the establishment of television distribution fee for its data products in the U.S. It mentions solicitation of comments,...
- MSRB Files Anti-Money-Laundering Rule. Hume, Lynn // Bond Buyer;5/23/2003, Vol. 344 Issue 31642, p5
The Municipal Securities Rulemaking Board (MSRB) filed a new Rule G-41 with the U.S. Securities and Exchange Commission (SEC) to ensure broker-dealers that only deal in municipal securities establish and implement compliance programs to prevent money laundering. The compliance programs were...
- Haines: Stagnant Mum Market Not Keeping Up. Ackerman, Andrew // Bond Buyer;9/27/2007, Vol. 361 Issue 32722, p1
The article reports on the statement issued by U.S. Securities and Exchange Commission Municipal Securities Chief Martha Mahan Haines during the Bond Attorney's Workshop of the National Association of Bond Lawyers in Chicago, Illinois. According to Haines, the municipal securities market will...
- Muni Groups Weigh In On NRSROs. Hume, Lynn // Bond Buyer;9/10/2009, Vol. 369 Issue 33181, p1
The article reports on the request by several municipal issuer groups asking the U.S. Securities and Exchange Commission (SEC) to only assign rating agencies as nationally recognized statistical rating organizations (NRSRO) provided they have uniform scales for rating muni and corporate...
- SEC Officials Go Overseas to Advise Poland on Muni Market. Hume, Lynn // Bond Buyer;10/08/99, Vol. 330 Issue 30743, p5
Reports that top officials of the United States Securities and Exchange Commission's Office of Municipal Securities will advise Poland on the development of the municipal finance market. Establishment of a municipal disclosure and regulatory regime.
- Muni Trading Costs High SEC Study: Retail Investors Hurt the Most. Hume, Lynn // Bond Buyer;2/12/2004, Vol. 347 Issue 31820, p1
Discusses the results of a study conducted by two Securities and Exchange Commission (SEC) economists stating the importance of increased price transparency on the municipal market in the U.S. Impact of the increased price transparency on retail investors; Definition of liquidity by the two...
- JeffCo, Alabama Financial Adviser Address Disclosure at SEC Hearing. SIGO, SHELLY // Bond Buyer;8/2/2011, Vol. 377 Issue 33558, p3
The article offers information on the U.S. Securities and Exchange Commission (SEC) field hearing in Birmingham, Alabama which focused on municipalities suffering from budgetary distress and troubled financings in the primary and secondary markets.
- SEC Reports on Municipal Securities Market. // New Jersey CPA;Nov/Dec2012, Issue 36, p6
The article presents information on a report issued by the U.S. Securities and Exchange Commission (SEC) to help improve the structure of it's municipal securities market and enhance investor disclosures.
- SEC Planning to Offer Staff Report on Municipal Market. QUIGLEY, JOAN // Bond Buyer;8/1/2011, Vol. 377 Issue 33557, p4
The article reports on the plan of the Securities and Exchange Commission to issue a staff report regarding the municipal securities market in the U.S. in 2011.