Archived Regulatory Notices 1998

Archive 1998

Press Release: December 16, 1998

Press Release for Land-Secured Finance Steering Committee.

Notice: December 14, 1998

Clarification on Recent Amendment requiring Disclosure of Designation Information Pursuant to Rule G-11(g)(iii).

Notice: December 3, 1998

The Board has filed further proposed amendments to the Board's previously filed proposal 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

Notice: December 1, 1998

The SEC has approved amendments to rules G-11, G-12 and G-8 in regard to syndicate practices.   The amendments became effective upon SEC approval.

Notice: November 20, 1998

The Board is publishing a notice regarding electronic delivery and receipt of information by brokers, dealers and municipal securities dealers

Notice: November 19, 1998

The Board is publishing a notice regarding the disclosure obligations of brokers, dealers and municipal securities dealers in connection with new issue municipal securities under rule G-32.

Notice: October 13, 1998

The Securities and Exchange Commision has approved an amendment to rule G-38, on consultants, to give dealers the option of disclosing their consulting arrangements to issuers on either an issue-specific or issuer-speicific basis.

Press Release: September 14, 1998

The Board Elects Officers

Notice: September 3, 1998

The Board is publishing a notice regarding issuer selection of underwriters' counsel.  

Approved: August 19, 1998

Today the Securities and Exchange Commission approved the Board’s plan to institute a service to provide a daily public report summarizing prices and volumes of trading in the municipal securities market during the previous day (the "Combined Daily Report").

Amendment Filed: August 18, 1998

Today the Board filed with the SEC an amendment to its previously proposed amendments to rule G-11, on sales of new issue municipal securities during the underwriting period (File No. SR-MSRB-97-15).

Attention: August 14,1998

The Board has announced that it will host a forum on disclosure to be held on November 11 and 12, 1998, in Washington, D.C. The forum will consist of sessions focusing on various aspects of disclosure in the municipal securities market.

Amendment Approved: July 21, 1998

The SEC has approved an amendment to rule G-32, on disclosures in connection with new issues, relating to inter-dealer dissemination of official statements and disclosure of initial offering prices to customers

Amendment Approved: July 21, 1998

The SEC has approved an amendment to rule G-32, on disclosures in connection with new issues, relating to delivery of official statements to customers purchasing new issue VRDOs.

Questions and answers: June 30, 1998

The Board is publishing questions and answers about reporting transactions as required by rule G-14.

Notice of Interpretation: June 29, 1998

Questions and Answers Regarding Section (i) of Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business"

Public Reporting of Transactions in Municipal Securities: Rule G-14. June 25, 1998

The Board has filed a proposed rule change to institute a service that would provide daily public reports summarizing information about customer and inter-dealer transactions in municipal securities reported to the Board under rule G-14.

Amendments Filed with the SEC to Require Dealers to Report Their Consultant's Political Contributions and Payments to Political Parties, June 16, 1998

The Board has filed amendments to rules G-38, on consultants, and G-8, on books, and records to require dealers to obtain from their consultants information on the consultants' political contributions and payments to state and local political parties and for dealers to report such information to the Board on Form G-37/G-38.

Notice of Filing of New Fees for OS/ARD Annual Backlog Collections, June 15, 1998

On June 15, 1998, the Board filed with the Securities and Exchange Commission ("Commission") a proposed rule change to change certain fees relating to the operation of its Official Statement/Advance Refunding Document ("OS/ARD") subsystem of the Municipal Securities Information Library® ("MSIL®") system.

Rule G-38 Q&A, June 1, 1998

On May 20, 1998, the SEC approved a rule G-38 Q&A notice concerning bank affiliates and the definition of payment.

Year 2000 system issues, May 21, 1998

The Board is publishing a notice regarding Year 2000 system issues.

Requirements of Rule G-29, on Availability of Board Rules, May 21, 1998

The Board is publishing a notice reviewing the requirements of rule G-29, on availability of Board rules.

Customer Transaction Reporting, May 18, 1998:

This notice describes a revised set of error messages for customer transaction reporting.

Notice Regarding correspondence between the Board and the Securities and Exchange Commission, May 5, 1998

Notice Regarding Effectiveness of Commercial Paper Amendment to Rule G-36, April 9, 1998

Notice Regarding Effectiveness of Commercial Paper Amendment to Rule G-36 and New Version of Form G-36 Manual 

Sample Daily Price and Volume Reports: March 3, 1998 to April 3, 1998

The Board has filed an amendment to rule G-32, March 25, 1998

The Board has filed an amendment to rule G-32 relating to delivery of official statements to customers purchasing certain new issue VRDOs"

The Board has filed a further amendment to its previously proposed amendment to rule G-38, March 18,1998

The Board has filed a further amendment to its previously proposed amendment to rule G-38, on consultants, that would give dealers the option of disclosing their consulting arrangements to issuers, pursuant to section (c) of the rule, on either an issue-specific or issuer-specific basis.

The Board has filed as amendment to rule G-32, March 12, 1998

The Board has filed as amendment to rule G-32 relating to dissemination of official statements by dealers acting as financial advisors

The Board has filed an amendment to rule G-36, March 10, 1998

The Board has filed an amendment to rule G-36, relating to submission of Form G-36 for commercial paper issues

SEC approved amendments to the Board's continuing education rules, March 3, 1998

On March 3, 1998, the SEC approved amendments to the Board's continuing education rules to strengthen the requirements for registered persons and implement a new program specifically for supervisors.

Proposed Amendments to Board's Continuing Education Program: Rule G-3, January 21, 1998

The Board has filed proposed amendments to rule G-3, on professional qualifications, regarding the Board's continuing education program.

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