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1-4 of 4
Keywords: Municipal Securities Rulemaking Board
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Journal Articles
New MSRB fair-pricing rule effective July 7, 2014
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (3): 47–50.
Published: 26 August 2014
... financial services lawyer. Municipal Securities Rulemaking Board MSRB rule G-30 Municipal bond fair pricing Municipal bond mark-downs Municipal bond mark-ups Municipal securities dealer compensation Whether a dealer acts as principal or agent, Supplementary Material to the rule requires...
Journal Articles
The SEC’s Municipal Advisor Rule will prompt new practices for market participants
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (2): 10–17.
Published: 03 June 2014
... Municipal Advisor Municipal Securities Rulemaking Board A new rule will take effect on July 1, 2014 that regulates persons and firms that provide advice to municipal issuers and obligated parties regarding municipal financial products or the issuance of municipal securities. Although the Municipal...
Journal Articles
Pay to play: recent SEC actions highlight importance of compliance controls
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (2): 21–27.
Published: 28 June 2013
... to political contributions and other political activities. Design/methodology/approach The paper explains Municipal Securities Rulemaking Board Rule G‐37, one of the earliest pay‐to‐play rules; the Settlement Order and how it addresses in‐kind campaign contributions, solicitation activities...
Journal Articles
SEC approves MSRB's new underwriter disclosure requirements
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (3): 69–73.
Published: 07 September 2012
...W. Hardy Callcott; Elizabeth H. Baird; Timothy C. Foley; Paul M. Tyrrell Purpose The aim is to explain certain disclosure and other obligations of municipal securities dealers when they act as underwriters to municipal securities issuers, as contained in a Municipal Securities Rulemaking Board...
