TITLE

Regulators Warn Dealers

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2003
SOURCE
Bond Buyer;10/17/2003, Vol. 346 Issue 31742, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the call of the Municipal Securities Rulemaking Board for dealers to report municipal taxable securities trades as municipal trades in the U.S. Implication for failure to comply with the requirement; Significant provision of the Rule G-14 from the Municipal Securities Rulemaking Board; Accumulation of the proceeds from the municipal taxable securities.
ACCESSION #
11143344

 

Related Articles

  • Dealers Urged to Report Taxable Muni Transactions to MSRB.  // Bond Buyer;10/17/2003, Vol. 346 Issue 31742, p5 

    Reports on the call of the U.S. Municipal Securities Rulemaking Board (MSRB) for dealers to report municipal taxable securities trades as municipal trades. Implication for failure to comply with the requirement; Significant provision of Rule G-14 from the MSRB; Accumulation of the proceeds from...

  • MSRB Issues Plan to Move To Real Time. Hume, Lynn // Bond Buyer;05/29/2001, Vol. 336 Issue 31148, p1 

    Details the requirement for dealers in the United States to report their municipal securities trades within a specific time after they occur under the real-time reporting system proposed by the Municipal Securities Rulemaking Board (MSRB) for the municipal market by mid-2003. MSRB solicitation...

  • NASD could launch enforcement action over late trade data. Hume, Lynn Stevens // Bond Buyer;10/26/98, Vol. 326 Issue 30507, p1 

    Reports that the National Association of Securities Dealers is likely to begin bringing enforcement action in 1999 over late trade data. Timely and accurate trade data under the Municipal Securities Rulemaking Board's transaction-reporting program; Additional examination of whether firms are...

  • MSRB Seeks Public Comment on Muni Pricing by Dealers. Ackerman, Andrew // Bond Buyer;4/22/2010, Vol. 372 Issue 33304, p23 

    The article reports on the search of the Municipal Securities Rulemaking Board (MSRB) for public comment on its draft interpretive guidance in the U.S. It mentions that the guidance outlines the steps that dealers must take to make sure the prices they charge to their customers in buying and...

  • TBMA calls for loosening G-36, G-32 rules on OS deliveries. Hume, Lynne // Bond Buyer;10/04/99, Vol. 329 Issue 30739, p36 

    Reports that the Bond Market Association has asked the Municipal Securities Rulemaking Board to review rules governing the delivery of official statement to the board and consumers by securities dealers in the United States. Concerns of the association on the current regulatory framework;...

  • MSRB to propose G-38 change; ends lengthy standoff with SEC. Hume, Lynn // Bond Buyer;03/04/99, Vol. 327 Issue 30591, p1 

    Focuses on the Municipal Securities Rulemaking Board's proposed changes to Rule G-38 which include a requirement for United States municipal securities dealers to end contracts with any consultants that refused to disclose their political contributions to state and local officials. Notice on...

  • NASD raises censure threshold for not filing G-37, G-38 forms. Hume, Lynn // Bond Buyer;07/14/99, Vol. 329 Issue 30682, p5 

    Reports on National Association of Securities Dealers' approval of a policy that will no longer censure stockbrokers in the United States for violating Municipal Securities Rulemaking Board Rules G-37 and G-38 by failing to file quarterly forms on political contributions. Background on the G-37...

  • Dealers, Non-Dealer Firm Want Changes to Gifts Proposal. Glazier, Kyle // Bondbuyer.com;12/9/2014, p35 

    The article focuses on the changes being demanded by dealers and non-dealer companies to the proposal of the U.S. Municipal Securities Rulemaking Board to extend gifts and gratuities regulation to municipal advisors. It raises the concern of market participants over the provision prohibiting...

  • MSRB: Allow Dealers to File Political Contribution Disclosure Via Web Site. Ferris, Craig T. // Bond Buyer;3/24/2003, Vol. 343 Issue 31599, p5 

    Reports that the Municipal Securities Rulemaking Board has proposed an amendment to G-37 and G-38 rules in order to facilitate municipal securities dealers in the U.S. to file political contribution disclosure electronically through its Website. Date expected for implementation of the rule...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics