MSRB: Ban Consultants For Dealers
- 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...
- Crisis Control Controversy. Kite, Shane // Securities Industry News;2/3/2003, Vol. 15 Issue 5, p1
Discusses plans of Bond Market Association (BMA) to file a comment letter opposing the U.S. Municipal Securities Rulemaking Board's (MSRB) proposal to the Securities and Exchange Commission (SEC). Powers to open/close bond market trading in emergency situations that MSRB wants; Purpose behind...
- TBMA Slams Draft G-37. Hume, Lynn // Bond Buyer;9/6/2005, Vol. 353 Issue 32211, p1
Reports on the issuance of a comment letter by the Bond Market Association to the U.S. Securities and Exchange Commission (SEC) on the proposed Rule G-37 changes of the Municipal Securities Rulemaking Board. Claim of the association that the proposed changes are too vague; Role of the SEC in...
- MSRB Seeks Shutdown Authority. Hume, Lynn // Bond Buyer;11/19/2002, Vol. 342 Issue 31516, p1
Reports on plans of the Municipal Securities Rulemaking Board to file a rule interpretation with the U.S. Securities and Exchange Board as of November 2002 that will allow it to shut down the municipal market in the event of a major catastrophe. Impact of the interpretation on the legality of...
- SEC Approves Amendment to MSRB G-38. Hume, Lynn Stevens // Bond Buyer;10/02/98, Vol. 326 Issue 30491, p5
Reports on the United States Securities and Exchange Commission's approval of an amendment to the Municipal Securities Rulemaking Board's (MSRB) Rule G-38. Disclosure of municipal consultants on issuer-specific or transaction-specific basis; Effectivity of the amendment as of September 29, 1998.
- AMF, Five More Firms Join TBMA to Oppose MSRB Crisis Plan. Hume, Lynn // Bond Buyer;4/1/2003, Vol. 344 Issue 31605, p5
The Bond Market Association's Asset Managers Forum and five more broker-dealer firms informed the U.S. Securities and Exchange Commission (SEC) that they are opposed to giving the Municipal Securities Rulemaking Board (MSRB) the authority to shut down the municipal market in the event of a...
- MSRB Sides Mostly With Issuers on G-17 Guidance. Hemmerdinger, Jonathan // Bond Buyer;2/16/2012, Vol. 379 Issue 33665, p5
The article offers information on the Municipal Securities Rulemaking Board's (MSRB) wish to get approval from Securities and Exchange Commission regarding the proposed guidance that details how underwriters should treat municipal issuers under its fair-dealing rule. It is stated that the board...
- MSRB files rule change to upgrade exam for muni reps. Hume, Lynn // Bond Buyer;6/10/99, Vol. 328 Issue 30659, p5
Reports that the United States Municipal Securities Rulemaking Board has filed a proposed rule change with the US Securities and Exchange Commission to update the examination that individuals must take to become registered representatives in the municipal market. Details of the revisions.
- MSRB revises outline for qualification exam. // Bond Buyer;10/17/97, Vol. 322 Issue 30254, p4
Reports that the Municipal Rulemaking Board has filed a study outline for its municipal securities principal qualification exam with US Securities and Exchange Commission.