TITLE

SEC Approves Interpretive Notice On College Savings Plans by MSRB

AUTHOR(S)
Hume, Lynn
PUB. DATE
June 2006
SOURCE
Bond Buyer;6/19/2006, Vol. 356 Issue 32405, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports on the additional requirement imposed by the Securities and Exchange Commission in selling college savings plans in the U.S. The interpretative notice was recommended by the Municipal Securities Rulemaking Board purposely to strengthen and clarify disclosure, suitability, and other customer-protection requirements that brokers must meet.
ACCESSION #
21291959

 

Related Articles

  • Commentary: Long-Awaited Municipal Advisor Regulation Should Not Restrict Issuers.  // Bond Buyer;11/7/2013, Vol. 122 Issue 34009, p1 

    The authors' reflect on the approval of a final rule defining municipal advisors by the U.S. Securities and Exchange Commission (SEC). They inform that the final rule is long-awaited will permit the Municipal Securities Rulemaking Board to move forward on regulations governing the activities of...

  • 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...

  • SEC's Annette Nazareth to Speak at MSRB's Forum. Hume, Lynn // Bond Buyer;01/03/2001, Vol. 335 Issue 31049, p5 

    No abstract available.

  • SEC targets Legg Mason in G-36 case. Hume, Lynn // Bond Buyer;10/01/99, Vol. 329 Issue 30738, p1 

    Reports on the enforcement action filed by the United States Securities and Exchange Commission against Legg Mason Wood Walker Inc. and two of its supervisory officials. Violation of the Municipal Securities Rulemaking Board rules; Failure to file advance refunding documents and official...

  • SEC Approves Rule Change Allowing MSRB to Delegate to Committees. Hume, Lynn // Bond Buyer;11/2/2006, Vol. 358 Issue 32500, p4 

    The article reports on the approval of a rule of change proposal by the U.S. Municipal Securities Rulemaking Board (MSRB). The rule of change was approved by the Securities and Exchange Commission and allows MSRB to delegate administrative matters to committees that it has established....

  • MSRB Stands Behind Plan On SMMPs. Hume, Lynn // Bond Buyer;1/28/2002, Vol. 339 Issue 31312, p1 

    Reports that Municipal Securities Rulemaking Board (MSRB) has filed its proposed concept on sophisticated municipal market professionals (SMMP) with the U.S. Securities and Exchange Commission. Response of MSRB on request from market groups to lower the threshold for SMMPs; Provision for the...

  • 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.

  • Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule A-3, on Membership on the Board. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/4/2011, Vol. 76 Issue 192, p61407 

    The article offers information on the approval of the U.S. Securities and Exchange Commission (SEC) to amend the rule changes of the Municipal Securities Rulemaking Board (MSRB). It states that the order approves the requested rule changes of the MSRB including term of the Board members. In...

  • Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/13/2011, Vol. 76 Issue 198, p63682 

    The article presents a notice from the U.S. Securities and Exchange Commission (SEC) on the proposed rule change filed by the Municipal Securities Rulemaking Board (MSRB) on September 30, 2011 consisting of an Amended and Restated Articles of Incorporation. Significant aspects of the statement...

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