TITLE

MSRB Tells SEC Its Unique Structure Avoids SRO Limitations

AUTHOR(S)
Hume, Lynn
PUB. DATE
March 2005
SOURCE
Bond Buyer;3/9/2005, Vol. 351 Issue 32086, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the warning issued by the U.S. Municipal Securities Rulemaking Board (MSRB) that it would oppose any attempt to bring municipal securities regulation under one overall single- or multipurpose regulator. Claim of the Board that the concept release issued by the Securities and Exchange Commission posed several possible alternatives to the current self-regulatory system for the securities industry; Rules proposed by the Commission that would strengthen the governance, transparency and oversight of the nine exchanges and the National Association of Securities Dealers; Limitation in the authority of MSRB to writing rules that govern dealers' conduct in municipal securities transactions.
ACCESSION #
16360273

 

Related Articles

  • SEC Allows More Flexible Time Frames for Exams. Ferris, Craig T. // Bond Buyer;10/21/99, Vol. 330 Issue 30752, p4 

    Reports that the United States Securities and Exchange Commission has approved an amendment to the Municipal Securities Rulemaking Board's Rule G-16. Flexibility that would be given to the National Association of Securities Dealers.

  • MSRB Files G-8 Arbitration Amendment With SEC. Hume, Lynn // Bond Buyer;3/22/2005, Vol. 351 Issue 32095, p3 

    Reports on the amendment filed by the U.S. Municipalities Securities Rulemaking Board (MSRB) with the Securities and Exchange Commission to its Rule G-8 on record keeping that governs bank dealers' and muni-only dealers' use of pre-dispute arbitration agreements with customers; Transfer of the...

  • Appeals Court Judges Uphold SEC Rule Similar to G-37. Casey, Jack // Bond Buyer;8/26/2015, Vol. 1 Issue 34367, p1 

    Three federal appeals court judges dismissed a challenge Tuesday to the Securities and Exchange Commission's pay-to-play rule for investment advisors that has similarities to the Municipal Securities Rulemaking Board's own pay-to-play rule for broker-dealers.

  • Sending the G-23 Evidence. Hume, Lynn // Bond Buyer;10/12/2005, Vol. 354 Issue 32236, p1 

    Reports on the plan of the National Association of Independent Public Finance Advisors (NAIPFA) to send the U.S. Municipal Securities Rulemaking Board and the National Association of Securities Dealers evidence showing that dealers in some parts of the country are violating the board's Rule...

  • MSRB Files G-38 Changes. Hume, Lynn // Bond Buyer;8/10/2005, Vol. 353 Issue 32193, p1 

    Reports that the U.S. Municipal Securities Rulemaking Board (MSRB) has filed an amendment with the Securities and Exchange Commission (SEC) that would make several modifications to its pending Rule G-38 on consultants. Prohibition of dealers from hiring anyone other than employees or affiliated...

  • MSRB, SEC Drop Emergency Plan for Shutting Muni Market. Hume, Lynn // Bond Buyer;8/29/2003, Vol. 345 Issue 31709, p5 

    Reports that the U.S. Municipal Securities Rulemaking Board (MSRB) on August 28, 2003 formally announced its decision to withdraw the controversial proposal filed with the Securities and Exchange Commission (SEC) that would enable it to shut down the municipal market in the event of a disaster...

  • Dealers Want SEC to Delay Consideration of SMMP Changes. Glazier, Kyle // Bond Buyer;9/30/2014, Vol. 1 Issue 34186, p1 

    Dealer groups are making a final push for changes to the Municipal Securities Rulemaking Board's proposed best execution rule, telling the Securities and Exchange Commission that it should hold off on any changes to how firms interact with sophisticated municipal market professionals until the...

  • SIFMA to SEC : No Exemptions for Non-Dealer MAs. Glazier, Kyle // Bond Buyer;3/23/2015, Vol. 1, p1 

    Non-dealer municipal advisors should not be allowed to act as placement agents for an issuance of bonds, the Securities Industry and Financial Markets Association told Securities and Exchange Commission chair Mary Jo White in a recent letter.

  • SEC Files Best-Ex Rule With SEC for Approval. Hume, Lynn; Glazier, Kyle // Bond Buyer;8/21/2014, Vol. 1 Issue 34165, p1 

    The article informs that the Municipal Securities Rulemaking Board (MSRB) is seeking changes to its Rule G-18 on execution of transactions from the U.S. Securities and Exchange Commission (SEC). It reveals that the proposal allows municipal securities to seek the favorable price, when executing...

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