SEC Seeks Comment on MSRB Consultant Rule
- SEC plans to seek comment on MSRB notice. Hume, Lynn Stevens // Bond Buyer;07/08/98, Vol. 325 Issue 30430, p40
Focuses on the US Securities and Exchange Commission's plans to seek public comments on Municipal Securities Rulemaking Board guidance clarifying the National Association of Securities Dealers' flexibility in deciding whether to grant firms exemptions when they trigger Rule G-37's two-year ban...
- G-38 revisions approved. Hume, Lynn // Bond Buyer;12/09/99, Vol. 330 Issue 30784, p1
Reports on the United States Securities and Exchange Commission's approval of amendments to the Municipal Securities Rulemaking Board's Rule G-38. Disclosure of quarterly political contributions of municipal securities; Prevention of dealers from circumventing the board's Rule G-37.
- MSRB to ask SEC to give its approval to rule changes. Hume, Lynn Stevens // Bond Buyer;11/13/97, Vol. 322 Issue 30272, p1
Reports on the Municipal Securities Rulemaking Board's (MSRB) plan to get the Securities and Exchange Commission (SEC) to approve most of the draft rule changes it proposed in June 1997 to increase disclosure and eliminate conflicts of interest in municipal securities offerings. Impetus for the...
- Strengthening of amendment proposed by MSRB for consultant Rule G-38. Ferris, Craig T. // Bond Buyer;03/19/98, Vol. 323 Issue 30354, p6
Focuses on the proposal filed by the Municipal Securities Rulemaking Board with the US Securities Exchange Commission (SEC) which require municipal securities dealers to quickly disclose to issuers their arrangements with consultants each time they does business with an issuer. Options provided...
- MSRB Seeks SEC Input on Bank Loans. Quigley, Joan // Bond Buyer;11/1/2011, Vol. 378 Issue 33608, p1
The article reports on the guidance request of the Municipal Securities Rulemaking Board (MSRB) to the Securities and Exchange Commission (SEC) concerning the municipal security qualification of a bank loan. It states that the request comes out due to the growing concerns of market participants...
- MSRB, FINRA Propose Principal Trade Disclosure. Glazier, Kyle // Financial-planning.com;11/18/2014, p3
The article reports on the proposal of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) for rules that address concerns on riskless principal transactions in the U.S. in 2014. The rules would require dealers that act as principals to...
- More MSRB Trade Data? Hume, Lynn // Bond Buyer;3/28/2002, Vol. 339 Issue 31354, p1
Focuses on a proposal made by the Municipal Securities Rulemaking Board (MSRB) to the U.S. Securities and Exchange Commission. Issuance of municipal securities; Frequency of trading securities; Efforts of MSRB to increase price transparency in the U.S. bond market.
- SEC Seeks Comments on MSRB Disclosure Plan. Ackerman, Andrew // Bond Buyer;7/20/2010, Vol. 373 Issue 33352, p5
The article reports that the U.S. Securities and Exchange Commission is seeking public comments regarding the proposal from Municipal Securities Rulemaking Board to change its Electronic Municipal Market Access site.
- MSRB, Citing SEC Cases, Issues Disclosure Guides. GLAZIER, KYLE // Bond Buyer;8/13/2013, Vol. 385 Issue 33961, p24
The article informs that the organization Municipal Securities Rulemaking Board in the U.S. has released a continuing disclosure guide which provides information to bond issuers regarding their obligations under the U.S. Securities and Exchange Commission's Rule 15c2-12.