Clarke: MSRB Arrives At a 'Turning Point'
- SEC, MSRB and FINRA to Hold Compliance Outreach Program for MAs. Hume, Lynn // Bond Buyer;12/2/2015, Vol. 1 Issue 34419, p1
Three muni regulators and enforcement agencies are opening registration for a free compliance outreach program for municipal advisors that they plan to hold in Philadelphia on Wednesday, Feb 3, 2016.
- MSRB Agenda Laid Out. Ackerman, Andrew // Bond Buyer;10/15/2007, Vol. 362 Issue 32733, p1
The article reports on the plan of the Municipal Securities Rulemaking Board (MSRB) of New York to amend its Rule G-14 in order to boost the transparency of demand securities and host a new muni-Edgar system. During one MSRB conference, executive director Lynnette Hotchkiss reveals that the...
- MSRB Withdraws MA Rules. QUIGLEY, JOAN // Bond Buyer;9/13/2011, Vol. 377 Issue 33581, p1
The article reports that the Municipal Securities Rulemaking Board (MSRB) withdraws its proposed municipal advisor (MA) rules with the Securities and Exchange Commission (SEC) in Washington on September 12, 2011. The MSRB pulls out the MA rules due to complaint of dealers and market participants...
- MSRB: Iffy Contracts, New Rules. GLAZIER, KYLE // Bond Buyer;4/29/2013, Vol. 384 Issue 33902, p1
The article discusses the concern of the U.S. Municipal Securities Rulemaking Board (MSRB) regarding the dealer financial advisory contracts in the U.S. It mentions are both the U.S. Securities and Exchange Commission (SEC) and the U.S. Financial Industry Regulatory Authority are also concerned...
- SEC Approves MSRB Classification Changes. Glazier, Kyle // Bond Buyer;8/6/2014, Vol. 1 Issue 34156, p1
The article focuses on the approval of the Municipal Securities Rulemaking Board's (MSRB) proposal for simplifying its Rule G-3 and Rules G-7 on professional designations by the U.S. Securities and Exchange Commission (SEC) as of August 2014. It mentions that after the changes rules will be more...
- Commentary: Time of Trade Disclosure: Why a New Rule, Why the Delay? Bienstock, Gregg // Bond Buyer;2/24/2014, Vol. 123 Issue 34064, p1
In this article, the author reflects on the U.S. Securities & Exchange Commission's the proposed rule G-47 for the municipal bond market, as of February 2014. It mentions that the proposed rule is a free-standing rule for codifying the relevant interpretive letters and guidance of G-17 during...
- SEC's White Embraces Ambitious Timetable For Muni Transparency Changes. Glazier, Kyle // Bond Buyer;6/23/2014, Vol. 1 Issue 34130, p1
The article focuses on the efforts made by Mary Jo White, chairman at the U.S. Securities and Exchange Commission, regarding the bond market transparency initiatives. Topics discussed include call for changes affecting bond dealers, benefits of the technological advances in the fixed income...
- Lawmakers: FINRA Oversight Hard on Small Dealers. Glazier, Kyle // Bond Buyer;5/4/2015, Vol. 1 Issue 34302, p1
The Financial Industry Regulatory Authority faced criticism from House Republicans Friday wondered if the broker-dealer self-regulator is too heavy-handed with small firms.
- OCIE Details its Examinations of Municipal Advisors. Casey, Jack // Bond Buyer;10/14/2015, Vol. 1 Issue 34393, p1
Securities and Exchange Commission officials updated National Association of Municipal Advisors members here on the status of the commission's municipal advisor examinations and fielded individual questions about continuing compliance with the program.