Understanding Municipal Market Indices, Yield Curves, and Benchmarks, Municipal Securities Rulemaking Board
, September 2012.
Section 529, Municipal Securities Rulemaking Board
(MSRB), Securities and Exchange Commission rules and regulations, Financial Industry Regulatory Authority rules); and (b) guidelines established by the Treasurer and prepared with the assistance of the Program Manager.
Since then, the SEC has been working to develop final definitions of individuals and firms that would be regulated as "municipal advisors," so the Municipal Securities Rulemaking Board
could adopt more detailed rules to regulate those parties.
6 November 2013 -- Virginia USA-based financial regulator The Municipal Securities Rulemaking Board
said it has launched a national multi-year campaign to increase its outreach to state and local governments that issue municipal securities.
Goldstone was a commissioner on the California Debt and Investment Advisory Commission and a former board member and chairman of the Municipal Securities Rulemaking Board
FINRA argues in its comment letter that it's the perfect candidate to create and implement an "investment advisor personnel qualification examination program," because it already maintains more than 30 FINRA and New York Stock Exchange (NYSE) qualification exams and delivers more than 40 qualification exams on behalf of not only FINRA but the North American Securities Administrators Association (NASAA), NYSE, the Municipal Securities Rulemaking Board
(MSRB), and the National Futures Association (NFA).
In response to the multiple pronouncements and proposals by the SEC and Municipal Securities Rulemaking Board
(MSRB) with regard to the municipal securities market and municipal officials, James appointed a special task force of the Board to determine how the different proposals would affect cities and towns In terms of increased costs and liabilities and to propose and reach consensus on an NLC strategy and response to the repeated public statements and proposals by the SEC with regard to the integrity of municipal officials and the safety and soundness of the municipal market.
The Firm And Its Staff Must Be Registered With The Securities Exchange Commission (Sec) And The Municipal Securities Rulemaking Board
The Securities and Exchange Commission, the Municipal Securities Rulemaking Board
, and other regulatory bodies are still busy with their work implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Place Trade is a Municipal Securities Rulemaking Board
(MSRB) registered firm as well.