The MSRB guidance include rules on fair practices, political contributions, and conflicts of interest. It notes that the rules have nothing to do with the tax-exempt status of the municipal securities.AckermanAndrewEBSCO_bspBond Buyer
The MSRB’sretrospective rule review, an ongoing effort to review rules and related interpretive guidance for brokers, dealers, municipal securities dealers and municipal advisors, got a boost last week with the release ofpriorities for the year. For 2019, the MSRB has prioritized a retrospective r...
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MSRB: Our Rules Apply To BABs. (cover story) The article reports that the Municipal Securities Rulemaking Board (MSRB) in the U.S. has issued guidance that applies to Build America Bonds (BAB) that au... Ackerman,Andrew - 《Bond Buyer》 被引量: 0发表: 2009年 ...
MSRB Must Clarify Rules for Muni Advisors vs. Broker-Dealers.The author reflects on the issues related to the broker-dealer contracts with the municipal bonds issuers. It mentions that the monthly meeting of the organization Municipal Securities Rulemaking Board was based on the legal and regulatory...
and what MSRB rules could apply to bank loans.Findings Firms should determine whether state and local government obligations acquired through bank loan transactions constitute municipal securities for federal securities law purposes.Originality/value Review of a recently issued regulatory notice by experienced...
that its Rule G-37 will now apply to Build America Bond (BAB) dealers. The board reminded dealers that its G-37 ban on political contributions applies to dealers soliciting business involving BAB, as well as other types of ta...
MSRB reportedly invited comments from the public as to whether any of its rules needed to be improved. The ICI asked the Board to clarify which of its rules apply to funds when they provide investments to 529 college savings plans.年份: 2013 ...
MSRB: Our Rules Apply To BABs. (cover story) The article reports that the Municipal Securities Rulemaking Board (MSRB) in the U.S. has issued guidance that applies to Build America Bonds (BAB) that au... Ackerman,Andrew - 《Bond Buyer》 被引量: 0发表: 2009年 MSRB Releases Proposal to...
The article reports that MSRB has published Notice 2008-09 reminding brokers, dealers and municipal securities dealers of the application of MSRB disclosure and suitability requirements that apply to all customer transactions in municipal Auction Rate Securities. The official documents for Auction Rate ...