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The change would give broker dealers, municipal securities dealers and municipal advisors until Jan. 31 to annually affirm the information on Form A-12, among other changes.
December 14 -
The Municipal Securities Rulemaking Board has announced its fifteen-member Compliance Advisory Group for the 2023 fiscal year, which includes eleven women and four men.
December 12 -
While the MSRB's compliance resources are not a rule and it has not been filed with the SEC, one can infer that following the same will be beneficial should the SEC inquire.
December 8SOLVE -
The proposed amendment to Rule G-3 is designed to promote diversity and inclusion in the muni market.
December 1 -
The Municipal Securities Rulemaking Board has filed to extend G-27 relief to give dealers an extra six-month window for remote inspections
November 17 -
The MSRB's latest request for comment has won initial praise from broker-dealer groups.
November 10 -
Watkins has served in a variety of leadership roles on muni associations and is described by colleagues as a tireless advocate for the municipal bond issuing community.
October 31 -
The MSRB will seek comment on Rule G-3 on professional qualifications that would add an exemption for muni advisors having to requalify in instances where their qualification had lapsed.
October 28 -
As issuers push against a financial disclosure bill pending in the Senate, some buy-siders say standardized disclosure would attract more investors and boost liquidity.
October 25 -
In its analysis of primary market data from 2019 to 2021, the MSRB showed that market participants fled competitive offerings during the COVID period and preferred private placements.
October 24