MSRB to Act on SMMP
- MSRB Seeks to Tighten Adviser Rule. // American Banker;11/2/2010, Vol. 175 Issue 168, p16
The article states that the Municipal Securities Rulemaking Board, a self-regulating agency for the municipal bond market, proposed the extension of a fair-dealing rule and required bond advisers to register with the agency.
- MSRB Pay-to-Play Rule For Advisers Due This Month. Ackerman, Andrew // Investment Management Weekly;12/6/2010, p7
The article offers information on the proposal of the Municipal Securities Rulemaking Board (MSRB) to make a draft pay-to-play rule for municipal advisers by the end of December 2010 based on the political contributions restrictions imposed on dealers under its Rule G-37.
- More Ballot Disclosure Sought. Hemmerdinger, Jonathan // Bond Buyer;8/16/2012, Vol. 381 Issue 33766, p1
The article reports on the changes to Rule G-37 proposed by the Municipal Securities Rulemaking Board (MSRB) in Washington which will require dealers to disclore their detailed contribution to bond ballot campaigns.
- MSRB Eyes Post-Election G-37 Issues. Hume, Lynn // Bond Buyer;11/30/2001, Vol. 338 Issue 31275, p1
Reports on the warnings issued by the U.S. Municipal Securities Rulemaking Board (MSRB) regarding some of its rules. Factor that prompted a warning from the board; Details of the specific rule about which warnings were issued; Facts contained in the MSRB notice issued to dealers and municipal...
- Dealers Said to Act As MAs. HEMMERDINGER, JONATHAN // Bond Buyer;10/9/2012, Vol. 382 Issue 33793, p1
The article discusses the involvement of non-dealer municipal advisors in financial advisory activities despite the rule made by Municipal Securities Rulemaking Board of the U.S. prohibiting them to serve in both roles. According to an example cited by a municipal analyst, a dealer agreed to...
- 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 Amends Proposed Look-Back, Look-Forward Rules. Ferris, Craig T. // Bond Buyer;3/27/2003, Vol. 343 Issue 31802, p4
The Municipal Securities Rulemaking Board yesterday filed an amendment to its previously proposed revisions to Rule G-37 on political contributions that would ease, but not eliminate, the so-called look-back and look-forward provisions for supervisory and management-level municipal finance...
- NASD Site Offers Compliance Checklist For Firms Selling Muni Fund Securities. Hume, Lynn // Bond Buyer;12/20/2002, Vol. 342 Issue 31537, p5
Reports that the U.S. National Association of Securities Dealers has posted on its web site a checklist of Municipal Securities Rulemaking Board rules for firms that sell municipal fund securities for college saving programs. Information contained in web site pertaining to municipal fund...
- MSRB Reminds Dealers of BAR Yield Confirmation Disclosures. ACKERMAN, ANDREW // Bond Buyer;8/27/2009, Vol. 369 Issue 33174, p5
The article reports on the Rule G-15, issued by the U.S. Municipal Securities Rulemaking Board (MSRB), reminding dealers of Build America Bonds (BAB) yield confirmation disclosures. According to the rule, a written confirmation, including disclosures is required at the completion of a...