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Municipal Securities Rulemaking Board (MSRB) (15)
Your search for Municipal Securities Rulemaking Board (MSRB) returned 15 results.
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8/23/2018 | Content area: Broker-Dealer
With the near $4 trillion municipal securities market ever increasing, the SEC has moved to further enhance transparency and timely access to importan...
7/20/2017 | Content area: Broker-Dealer
Needed new guidance on coming fixed income confirmation disclosure requirements has been released by FINRA. The guidance—in the form of 45 FAQs—is aim...
9/28/2016 | Content area: Broker-Dealer
The Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) is issuing an order finding that Municipal Securities Rulemaking Board (‘‘MSRB’’) r...
6/21/2016 | Content area: Broker-Dealer
These proceedings involve the sale of both non-investment grade or “junk” bonds, and unrated bonds by Feltl & Company, Inc. (“Feltl”), a registered br...
11/25/2015 | Content area: Broker-Dealer
Virtually four months to the day from the Municipal Securities Rulemaking Board’s effective date for its new rule on best execution for municipal secu...
4/23/2015 | Content area: Broker-Dealer
These proceedings involve the sale of non-investment grade or “junk” bonds issued by the Commonwealth of Puerto Rico by StateTrust, a registered broke...
1/01/2015 | Content area: Broker-Dealer
(a) Annual Report of the Municipal Securities Rulemaking Board. The Municipal Securities Rulemaking Board shall file annual reports with the Commissio...
1/20/2014 | Content area: Broker-Dealer
With the holidays passed, the SEC remains in a gift giving mood. The Commission announced last week that compliance with the final municipal advisor r...
1/16/2014 | Content area: Broker-Dealer
This is a final rule issued by the SEC in early 2014 to extend the deadline for municipal advisors to register until July 2014.
10/28/2013 | Content area: Investment Adviser
Permit us to save you time going through the 777-page final rule from the SEC on municipal advisor registration (IA Watch, Sept. 23, 2013). It's craft...
10/01/2012 | Content area: Investment Adviser
Last week's Federal Register included the SEC's new final rule announcing the agency won't meet the Sept. 30th deadline to define a "municipal advisor...
8/31/2012 | Content area: Broker-Dealer
Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules.
9/19/2011 | Content area: Investment Adviser
Last week the Municipal Securities Rulemaking Board (MSRB) announced it was delaying its proposals related to municipal advisors until the SEC finaliz...
9/12/2011 | Content area: Investment Adviser
The MSRB has proposed a fiduciary duty standard for municipal advisors that, among other things, would prohibit the advisor from acting in a principal...
2/14/2011 | Content area: Investment Adviser
You have until Feb. 22 to comment to the SEC about its municipal advisor proposal (IA Watch, Jan. 17, 2011), and many in the industry may well take th...

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