Archive 1999
Notice: December 29, 1999
The Securities and Exchange Commission has approved
a service to provide a daily public report containing information on individual
transactions in frequently traded securities. To obtain a subscription
to the new service, it will be necessary to sign a subscription agreement,
but there will be no fee.
Notice: December 9, 1999
The Securities and Exchange Commission has
approved amendments to rules G-38, G-37 and G-8 requiring dealers to obtain
from their consultants information on political contributions and payments
to political parties and for dealers to report such information to the
Board. The amendments will become effective on April 1, 2000.
Notice: December 9, 1999
The MSRB has filed with the SEC an amendment
to rule G-36(c)(i) relating to official statements prepared in connection
with most primary offerings exempt from Exchange Act Rule 15c2-12.
Notice: October 20, 1999
The SEC has approved an amendment to rule
G-16, on periodic compliance examination.
Notice: September 10, 1999
The Board is announcing the election of its
Chairman and Vice Chairman for its 2000 fiscal year.
Notice: September 3, 1999
The Board plans to offer a new
Daily Transaction Report, containing detailed information on individual
transactions in frequently traded municipal securities reported to the
Board by dealers under Board rule G-14.
Notice: September 3, 1999
The Board is making available
a demonstration system designed to show a possible "real-time"
method for disseminating transaction information via the world wide
web. Comments on the content and format of the information are requested.
Notice: August 27, 1999
Notice on Municipal Fund Securities -- The
Board is requesting further comments on revised draft rule changes relating
to municipal fund securities. Comments are due by November 1, 1999.
Notice: August 26, 1999
The Board has filed additional amendments to
the pending amendments at the Securities and Exchange Commission concerning
the disclosure of consultants' contributions.
Notice: August 13, 1999
The Board has filed with the SEC an amendment
to rule G-16, on periodic compliance examination. Rule G-16 sets forth
the timing of examinations of dealers for compliance with Board rules.
The proposed amendment revises the 24-month examination requirement in
rule G-16 to a two calendar year requirement.
Notice: July 15, 1999
The Board is publishing a notice regarding data
derived from Forms G-36(OS) received by the Board in 1998. The notice
discusses the timeliness of issuer deliveries of official statements to
underwriters and of dealer deliveries to customers and the Board. In addition,
the notice requests comments on a draft amendment to rule G-36(c)(i) and
on possible alternatives to the current system of dealer dissemination
of official statements. Comments are due by September 30, 1999.
Notice: July 15, 1999
The Board Will Host Forums on Land-Secured
Disclosure in Washington, D.C., Houston, Texas and Costa Mesa, California.
Notice: June 9, 1999
The Board has filed with the Securities and
Exchange Commission a proposed rule change to revise the test specifications
and the study outline for the Board's Municipal Securities Representative
Qualification Examination
Notice: May 28, 1999
The Board has filed with the SEC a series
of technical amendments to rules A-3, A-5, A-7, A-11 through A-15, A-17,
D-5, G-1 through G-3, G-5 through G-9, G-11 through G-16, G-18, G-20,
G-23, G-27, G-28, G-32, G-34, G-36, G-37 and G-39. The technical amendments
become operative on July 1, 1999.
Notice: May 20, 1999
Today the MSRB and the National Council of
State Housing Agencies are announcing the implementation of a test program
for the electronic submission and dissemination of continuing disclosure
information, including quarterly financial information.
Amendment Approved: May 10, 1999
On May 7, 1999, the Securities and Exchange
Commission approved an amendment to rule G-15(d)(ii) that allows dealers
to comply with the rule by using the services of "qualified vendors"
for confirmation/acknowledgment of DVP/RVP customer transactions.
Amendment Approved: April 30, 1999
The SEC has approved an amendment to rule
G-11 concerning the disclosure of designation information to syndicate
members.
Notice: April 22, 1999
The Board is publishing a notice that reviews
the importance of timely dissemination of information on advance refunded
securities.
Notice: April 20, 1999
The Board has filed with the Securities and
Exchange Commission an amendment to its proposed rule change on rule G-15(d)(ii)
on automated confirmation/acknowledgment of customer transactions
Notice: April 19, 1999
The Board is publishing a notice requesting comment
on draft amendments to the proposals pending at the Securities and Exchange
Commission concerning the disclosure of consultants' contributions pursuant
to rule G-38, on consultants. Comments on the draft amendments should
be submitted to the Board no later than May 28, 1999.
Notice: April 15, 1999
Customer Transaction Reporting Reminder on Transactions
with Issuers and New Error Codes
Notice: March 31, 1999
On March 26, 1999, the SEC approved amendments
to rule G-23 concerning financial advisors who wish to act as remarketing
agents for issues on which they advised the issuer.
Notice: March 23, 1999
The Board has released a notice regarding the
application of rule G-37 to Presidential campaigns of issuer officials.
The notice was published in response to a number of inquiries received
by the Board in recent weeks.
Notice: March 17, 1999
The Board is
requesting comments regarding the application of existing Board rules
and certain draft rule changes relating to municipal fund securities.
Notice: March 11, 1999
The Board has filed with the SEC an amendment
to clarify a previous amendment to rule G-11(g)(iii) concerning the disclosure
of designation information to syndicate members.
Notice: March 4, 1999
The Board is publishing a fourth Question and Answer
notice on rule G-38, on consultants, to address the application of rule
G-38 to instances in which dealers have entered into agreements to jointly
seek underwriting assignments.
Notice: February 9, 1999
The SEC has approved amendments
to exempt certain dealers from disclosure and recordkeeping requirements
relating to political contributions and municipal securities business
- Rules G-37, G-8, G-9 and G-38.
Press Release: January 29, 1999
Release Regarding the Land-Secured Financing Steering
Committee.
Notice: January 29, 1999
MSRB Rule Book Available in February.
Press Release: January 25, 1999
The Board has issued a press release for the Health
Care Financing Steering Committee.
Notice: January 14, 1999
The Board has filed with the Securities and Exchange
Commission a proposed amendment to previously filed amendments to rule
G-23, on activities of financial advisors. The proposed amendments to
rule G-23 concern financial advisors who wish to act as remarketing agents
for issues on which they advised the issuer.
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