MSRB files proposed rules with SEC requiring training for muni supervisors

Hume, Lynn Stevens
January 1998
Bond Buyer;01/22/98, Vol. 323 Issue 30315, p4
Trade Publication
Reports on the Municipal Securities Rulemaking Board's (MSRB) filing of proposed amendments to Rule G-3 with the US Securities & Exchange Commission, that would require supervisors in municipal broker-dealer firms to participate in continuing education training programs. Other features of the rules; Remarks from Christopher Taylor, MSRB executive director; Impact on registered representatives.


Related Articles

  • MSRB Wants Comment on SMMP Definition, Obligations. GLAZIER, KYLE // Bond Buyer;5/2/2013, Vol. 384 Issue 33905, p3 

    The article informs that the organization Municipal Securities Rulemaking Board is seeking comments on a proposal to establish a new rule for sophisticated municipal market professionals (SMMPs) and a related rule setting the obligations of dealers toward SMMPs.

  • Changes in Pricing Policies. Hume, Lynn // Bond Buyer;10/6/2004, Vol. 350 Issue 31984, p1 

    Reports on the alteration of the pricing practices for municipal securities by the broker-dealer firms in Washington. Compliance to the guidance issued by the Municipal Securities Rulemaking Board; Allegation of pricing violations; Responsibility of the broker-dealers for ensuring retail...

  • MSRB Explains Disclosure Obligations of Broker-Dealers. Quigley, Joan // Bond Buyer;12/1/2011, Vol. 378 Issue 33625, p6 

    The article reports on the explanation made by the Municipal Securities Rulemaking Board (MSRB) concerning the disclosure obligations of broker-dealers in the U.S.

  • MSRB Seeks More Relief for Small Firms Selling Municipal Fund Securities. Hume, Lynn // Bond Buyer;7/12/2001, Vol. 337 Issue 31179, p13 

    Reports the proposed regulatory relief for broker-dealer companies due to the loss of municipal fund securities (MFC) business in Washington, D.C. Expansion of the relief by the Municipal Securities Rulemaking Board; Qualifications of MCF principals; Views of executive director Christopher...

  • MSRB Reminds Broker-Dealers About Changes to Rules G-21, G-27. Ackerman, Andrew // Bond Buyer;7/17/2007, Vol. 361 Issue 32672, p5 

    The article reports that Municipal Securities Rulemaking Board has reminded broker-dealers concerning the affectivity on the changes to its Rule G-21 on advertising and Rule G-27 on supervision. The changes, requiring dealers to meet new fee and expense disclosure requirements for municipal fund...

  • MSRB Says Broker-Dealers Must Report ARS Buybacks Under RTRS. Hume, Lynn // Bond Buyer;9/3/2008, Vol. 365 Issue 32953, p4 

    The article reports on the notice issued by the Municipal Securities Rulemaking Board (MSRB) concerning broker dealers in the U.S. The notice requires broker-dealers buying back auction-rate securities (ARS) from their customer to report their purchases under MSRB's Real-Time Transaction...

  • NEW MUNI RULE: The Pile Gets Higher. Hintze, John // Securities Industry News;Fall2004 Supp Compliance, p6 

    Deals with the reporting trade compliance rule implemented by the U.S. Municipal Securities Rulemaking Board (MSRB) in 2004. Impact of the rule on bond market participants; Requirement issued by MSRB to broker-dealers; Remarks from Chris Frankel, president of Sterne, Agee & Leach Financial, on...

  • Reporting Change For Municipals. Dow Jones // American Banker;2/1/2005, Vol. 170 Issue 21, p20 

    Reports that the Municipal Securities Rulemaking Board unveiled a real-time transaction reporting system for brokers and dealers trading municipal securities.

  • MSRB Asks SEC to OK Bondholder Consent Protections. GLAZIER, KYLE // Bond Buyer;9/23/2013, Vol. 385 Issue 33983, p4 

    The article informs that the Municipal Securities Rulemaking Board has sent a proposal to the Securities and Exchange Commission as of September 2013 to prohibit broker-dealers from providing consent to issuer requests to change bond authorizing documents.


Read the Article


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

Try another library?
Sign out of this library

Other Topics