MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual … Continue reading MSRB Rule A·14 (Annual Fee)
In support of the Municipal Securities Rulemaking Board’s (“MSRB”) ongoing efforts to more fairly and equitably assess fees among regulated entities, the MSRB has filed a rule amendment to MSRB Rule A-11, … Continue reading MSRB Fees to Increase for Municipal Advisors
The Municipal Securities Rulemaking Board (MSRB) received approval from the Securities and Exchange Commission (SEC) on July 27, 2017, to amend MSRB G-26, on customer account transfers, to modernize the … Continue reading SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers
International Municipal Lawyers Association’s Municipal Finance Webinar August 23, 2017 1:00 PM – 2:00 PM ET MSRB Assistant General Counsel Saliha Olgun will speak about recent developments in municipal securities … Continue reading MSRB: International Municipal Lawyer’s Association’s Municipal Finance Webinar
During this free webinar, Municipal Securities Rulemaking Board (MSRB) staff will discuss the recently published guidance on the application of MSRB rules to solicitor municipal advisors. Under the MSRB’s mandate … Continue reading MSRB Webinar: Municipal Advisor Solicitor Guidance
During this free webinar, staff of the MSRB and the U.S. Securities and Exchange Commission will review the standards of professional qualification for municipal advisors and discuss the enrollment process … Continue reading MSRB Webinar: Municipal Advisor Representative Qualification Examination (Series 50 Exam)
MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 … Continue reading MSRB Update of Primary Contact Information (MSRB G-40)
The Municipal Securities Rulemaking Board (MSRB) filed a proposed rule change with the Securities and Exchange Commission (SEC) to revise the content outline for the Municipal Advisor Representative Qualification Examination … Continue reading MSRB Revises Content for Municipal Advisor Qualification Examination
The Municipal Securities Rulemaking Board (MSRB) reminds municipal advisors that MSRB Rule G-42 on duties of non-solicitor municipal advisors and related amendments to MSRB Rule G-8 on recordkeeping become effective on June 23, … Continue reading MSRB: June 23, 2016 Effective Date of New Rule G-42
Pamela Ellis, MSRB Associate General Counsel, and Richard Ellis, MSRB 529 Seminar & Conference Board Member, will speak in Orlando, FL.
Eugenia Song, MSRB Outreach Manager, will conduct a webinar on Putting EMMA to Work for You.
MSRB Webinar: Application of MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Advisory Business to Municipal Advisors, and Related Amendments to MSRB Rules G-8 and G-9. During this free … Continue reading MSRB Webinar: Application of MSRB Rule G-37 on Political Contributions and Prohibitions
The Municipal Securities Rulemaking Board (MSRB) has filed a Notice of Rule Change with the Securities and Exchange Commission (SEC) to apply the limitations on business-related gift-giving that currently applies to … Continue reading MSRB Seeks Approval to Amend Gifts Rule
The Municipal Securities Rulemaking Board (MSRB) announced in Regulatory Notice 2015-13 that it will be raising the fees assessed to its registrants (brokers, dealers, and municipal securities dealers (collectively “dealers”) … Continue reading MSRB to Raise Annual and Initial Fees
The Municipal Securities Rulemaking Board (MSRB) announced in Regulatory Notice 2015-13 that it will be raising the fees assessed to its registrants (brokers, dealers, and municipal securities dealers (collectively “dealers”) and municipal advisors (collectively “regulated entities”), effective October 1, 2015.
FINRA is soliciting comment on a proposal to create a new Academic TRACE Data product that would be available to institutions of higher education. FINRA and the Municipal Securities Rulemaking … Continue reading Comment Period Ends: Academic TRACE Data product
The MSRB’s current fee for initial registration under Rule A-12 is $100, an amount that has not been changed since its inception in 1975. During its fee review, the MSRB Board concluded that an increase in the initial registration fee from $100 to $1,000 was reasonable to help defray a significant portion of the administrative and operational costs associated with processing an initial registration.
FINRA issued Regulatory Notice 15-27 to remind firms engaging in municipal securities transactions that their written supervisory procedures should identify the process for detecting, resolving and preventing the consequences of firm short positions … Continue reading FINRA Issues Guidance Relating to Firm Short Positions & Fails-to-Receive in Municipal Securities
The Municipal Securities Rulemaking Board (MSRB) is requesting comment on a proposal to modify the application of the standard of independence for the one public member of its Board of Directors … Continue reading Comment Period Ends for MSRB Requests on Alternative Standard of Independence for Investor Representative on its Board
The Municipal Securities Rulemaking Board (MSRB) is requesting comment on a proposal to modify the application of the standard of independence for the one public member of its Board of Directors … Continue reading MSRB Requests Comments on Alternative Standard of Independence for Investor Representative on its Board
During this free webinar, MSRB staff will provide a review of the content outline for the first qualifying exam for municipal advisors and instructions on how to register for the … Continue reading MSRB Webinar: The Municipal Advisor Qualification Exam (Series 50)
The Municipal Securities Rulemaking Board (MSRB) and the Municipal Forum of New York will host an education and outreach seminar on July 28, 2015 from 3:00 p.m.-5:30 p.m. at the Marriott New … Continue reading MSRB and Municipal Forum of New York Education and Outreach Seminar
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) has released an update to its 2013 report on how many days after the end of the fiscal year that issuers … Continue reading MSRB Publishes Updates on Annual Financial Disclosures
FINRA Regulatory Notice 15-12 reflects that FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The … Continue reading Quarterly GASB Accounting Support Fee Due
In FINRA Notice to Members 15-08 , FINRA noted that it regularly conducts a comprehensive review of the examination fee structure, including an analysis of the costs associated with developing, … Continue reading Regulatory Notice: Effective Date for Changes to Qualification Examination Fees
MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual … Continue reading MSRB Rule A•14 (Annual Fee)