MSRB Seeks More Relief for Small Firms Selling Municipal Fund Securities
- MSRB Wants Comment on SMMP Definition, Obligations. GLAZIER, KYLE // Bond Buyer;5/2/2013, Vol. 384 Issue 33905, p3
The article informs that the organization Municipal Securities Rulemaking Board is seeking comments on a proposal to establish a new rule for sophisticated municipal market professionals (SMMPs) and a related rule setting the obligations of dealers toward SMMPs.
- Changes in Pricing Policies. Hume, Lynn // Bond Buyer;10/6/2004, Vol. 350 Issue 31984, p1
Reports on the alteration of the pricing practices for municipal securities by the broker-dealer firms in Washington. Compliance to the guidance issued by the Municipal Securities Rulemaking Board; Allegation of pricing violations; Responsibility of the broker-dealers for ensuring retail...
- MSRB files proposed rules with SEC requiring training for muni supervisors. Hume, Lynn Stevens // Bond Buyer;01/22/98, Vol. 323 Issue 30315, p4
Reports on the Municipal Securities Rulemaking Board's (MSRB) filing of proposed amendments to Rule G-3 with the US Securities & Exchange Commission, that would require supervisors in municipal broker-dealer firms to participate in continuing education training programs. Other features of the...
- MSRB Explains Disclosure Obligations of Broker-Dealers. Quigley, Joan // Bond Buyer;12/1/2011, Vol. 378 Issue 33625, p6
The article reports on the explanation made by the Municipal Securities Rulemaking Board (MSRB) concerning the disclosure obligations of broker-dealers in the U.S.
- MSRB Reminds Broker-Dealers About Changes to Rules G-21, G-27. Ackerman, Andrew // Bond Buyer;7/17/2007, Vol. 361 Issue 32672, p5
The article reports that Municipal Securities Rulemaking Board has reminded broker-dealers concerning the affectivity on the changes to its Rule G-21 on advertising and Rule G-27 on supervision. The changes, requiring dealers to meet new fee and expense disclosure requirements for municipal fund...
- MSRB Says Broker-Dealers Must Report ARS Buybacks Under RTRS. Hume, Lynn // Bond Buyer;9/3/2008, Vol. 365 Issue 32953, p4
The article reports on the notice issued by the Municipal Securities Rulemaking Board (MSRB) concerning broker dealers in the U.S. The notice requires broker-dealers buying back auction-rate securities (ARS) from their customer to report their purchases under MSRB's Real-Time Transaction...
- NEW MUNI RULE: The Pile Gets Higher. Hintze, John // Securities Industry News;Fall2004 Supp Compliance, p6
Deals with the reporting trade compliance rule implemented by the U.S. Municipal Securities Rulemaking Board (MSRB) in 2004. Impact of the rule on bond market participants; Requirement issued by MSRB to broker-dealers; Remarks from Chris Frankel, president of Sterne, Agee & Leach Financial, on...
- Reporting Change For Municipals. Dow Jones // American Banker;2/1/2005, Vol. 170 Issue 21, p20
Reports that the Municipal Securities Rulemaking Board unveiled a real-time transaction reporting system for brokers and dealers trading municipal securities.
- MSRB Asks SEC to OK Bondholder Consent Protections. GLAZIER, KYLE // Bond Buyer;9/23/2013, Vol. 385 Issue 33983, p4
The article informs that the Municipal Securities Rulemaking Board has sent a proposal to the Securities and Exchange Commission as of September 2013 to prohibit broker-dealers from providing consent to issuer requests to change bond authorizing documents.