NASD Sanctions Brokers' Broker Rep, 2 Firms
- Washington alert. // Bond Buyer;01/24/2000, Vol. 331 Issue 30813, p3A
Presents news items related to bonds and the securities industry in the United States as of January 24, 2000. Includes Municipal Securities Rulemaking Board's launching of an expanded price transparency program; Settlement of a lawsuit filed by Louisville Gas & Electric Energy Corp. over City...
- SIFMA Hits Plan for More Short-Term Securities Disclosure. Hume, Lynn // Bond Buyer;9/2/2009, Vol. 369 Issue 33177, p5
The article reports on the commentary of the Securities Industry and Financial Markets Association to the proposed changes of the U.S. Municipal Securities Rulemaking Board Rule G-34. The proposal requires dealers to report information on auction-rate securities and variable-rate demand...
- SIFMA, NABL Express Differing View to MSRB's 'Access Equals Delivery' System. Ackerman, Andrew // Bond Buyer;12/20/2007, Vol. 362 Issue 32778, p5
The article reports on the views of the Securities Industry and Financial Markets Association (SIFMA) and the National Association of Bond Lawyers (NABL) toward the U.S. Municipal Securities Rulemaking Board's (MSRB) access equals delivery system. This system requires dealers to inform investors...
- MSRB: Under G-36, ARS Remarketers May Have to File New OS. Ackerman, Andrew // Bond Buyer;3/26/2008, Vol. 363 Issue 32843, p5
The article reports that the Municipal Securities Rulemaking Board (MSRB) in the U.S. has issued a notice to remind brokers and dealers who serve as remarketing agents for issuers on their auction-rate securities. The notice requires them to file with the board a new official statement and a...
- OUR BACK PAGES. Longland, Sal // Caterer & Hotelkeeper;4/7/2005, Vol. 194 Issue 4369, p14
Recounts issues related to the catering and hotel management industries in Great Britain, that were previously published in the periodical "Caterer & Hotelkeeper." Fine imposed by the Court of Windermere Magistrates to farmer Carl Petus van der Merwe; Deferment of applications for the training...
- MSRB: Be Aware Of BABs. HUME, LYNN // Bond Buyer;6/13/2013, Vol. 384 Issue 33928, p1
The article informs that the U.S. Municipal Securities Rulemaking Board (MSRB) is asking to bond investors and dealers for reviewing the redemption provisions of Build America Bonds (BABs) and direct-pay bonds to determine the impact of redemption on the bonds' market value.
- MSRB notice on POS's opens the floodgates for Internet posting. Cintron, Ivan // Bond Buyer;03/17/99, Vol. 327 Issue 30600, p34
Reports on United States Municipal Securities Rulemaking Board's notice on electronic filing of preliminary official statements of bond broker-dealers and issuers. Transmission of certain information to customer electronically.
- MSRB: Expand Pricing Data. Hume, Lynn // Bond Buyer;09/07/99, Vol. 329 Issue 30720, p1
Reports on the proposal of the United States Municipal Securities Rulemaking Board to provide market participants with expanded daily pricing and other information on municipal securities transactions. Total par value traded and high, low, and average price for the day.
- Rule G-38: A potential minefield for muni professionals. Cummins, John // Bond Buyer;
Reports on Municipal Securities Rulemaking Board's Rule G-38, regulating the use of consultants in obtaining or retaining municipal securities business in the United States. Discussion on four parts of Rule G-38; Potential trap for any dealer.