Search results

Order by most recent / most popular / relevance

Results: 1-10 of 15

MSRB provides guidance to underwriters on obligations to state and local governments

Leonard, Street and Deinard
-
USA
-
July 21 2012

The Municipal Securities Rulemaking Board, or MSRB, has published implementation guidance to assist underwriters in meeting their newly expanded legal obligations to state and local governments

SEC proposes permanent rule requiring municipal advisors to register with agency

Leonard, Street and Deinard
-
USA
-
December 20 2010

The SEC has proposed a rule creating a new process by which municipal advisors must register with the SEC

How to get out of the municipal advisory business

Leonard, Street and Deinard
-
USA
-
February 28 2011

The Dodd-Frank Act requires municipal advisors to register with the SEC, and as a result, with the Municipal Securities Rule Making Board, or MSRB

MSRB requests comments on a draft rule and interpretive notices for municipal advisors

Leonard, Street and Deinard
-
USA
-
February 17 2011

The Municipal Securities Rule Making Board, or MSRB, is requesting comments on a draft rule and two interpretive notices applicable to municipal advisors

MSRB holds meeting to consider Dodd-Frank related rules

Leonard, Street and Deinard
-
USA
-
May 23 2011

The Board of Directors of the Municipal Securities Rulemaking Board, or MSRB, held a special meeting on May 19-20, 2011 where it advanced major rule proposals governing fiduciary duty, conflicts of interest and fair dealing requirements for firms and individuals that provide financial advisory and underwriting services for municipal entities

MSRB publishes draft rule governing gifts and gratuities by municipal advisers

Leonard, Street and Deinard
-
USA
-
February 22 2011

The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on draft amendments to MSRB Rule G-20 (on gifts and gratuities), which would apply the rule to municipal advisors, as well as associated draft amendments to Rule G-8 (on books and records) and Rule G-9 (on preservation of records

MSRB proposes groundbreaking rules on obligations of municipal securities underwriters to government bond issuers

Leonard, Street and Deinard
-
USA
-
August 2 2011

The Municipal Securities Rulemaking Board, or MSRB, has requested approval from the SEC of a notice that would establish detailed obligations of underwriters of municipal securities to their state and local government clients covering clear disclosure of risks and conflicts of interest, among other things

MSRB requests comment on supervisory rule for municipal advisors

Leonard, Street and Deinard
-
USA
-
May 25 2011

The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on a proposed rule that would require municipal advisors to adopt a basic supervisory structure to ensure compliance with applicable MSRB and Securities and Exchange Commission (SEC) rules

MSRB Rule G-23 concerning the activities of financial advisors effective November 27, 2011

Leonard, Street and Deinard
-
USA
-
November 26 2011

The Municipal Securities Rulemaking Board (MSRB) reminds brokers, dealers, municipal securities dealers (“dealers”) and municipal advisors of amendments to MSRB Rule G-23, on activities of financial advisors, which are effective on November 27, 2011

MSRB requests comment on municipal advisor rules on written communications and disclosures

Leonard, Street and Deinard
-
USA
-
August 10 2011

The Municipal Securities Rulemaking Board, or MSRB, has requested comment on extending the MSRB’s rule on advertisements to cover municipal advisors and on a draft interpretive notice covering other forms of marketing communications

next >