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  • Search: subject:"Municipal Securities Rulemaking Board"
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Year of publication
Subject
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Municipal Securities Rulemaking Board (MSRB) 8 Kommunalobligation 7 Municipal Securities Rulemaking Board 7 Municipal bond 7 Securities law 5 Wertpapierrecht 5 Broker-dealer 4 Financial Industry Regulatory Authority (FINRA) 4 Kommunalverschuldung 4 Municipal advisor 4 Municipal debt 4 Policies and procedures 4 Regulation 4 Securities and Exchange Commission 4 USA 4 Regulierung 3 United States 3 Bank loan 2 Compliance risks 2 Dodd-Frank Act 2 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) 2 Duty of care 2 Duty of loyalty 2 Fiduciary 2 Financial market regulation 2 Financial supervision 2 Finanzmarktaufsicht 2 Finanzmarktregulierung 2 MSRB rule G-30 2 Municipal Advisor 2 Municipal advisors 2 Municipal bond mark-downs 2 Municipal bond mark-ups 2 Municipal securities 2 Municipal securities dealer compensation 2 Municipal security 2 Public bond 2 Regulatory examinations 2 US Securities and Exchange Commission (SEC) 2 United States of America 2
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Online availability
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Undetermined 12
Type of publication
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Article 15
Type of publication (narrower categories)
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Article in journal 7 Aufsatz in Zeitschrift 7 technical-paper 6 research-article 2
Language
All
English 15
Author
All
Anderson, Scott R. 3 Ackerman, Brett M. 2 Bannard, David 2 Burr, James C. 2 Cosgrove, Richard A. 2 Groethe, Reed 2 Huang, Juliet H. 2 Lanza, Ernesto 2 Miller, Sean 2 Poorbaugh, Kate S. 2 Rienhardt, Anna 2 Wink, Stephen 2 Baird, Elizabeth H. 1 Carroll, Brenden 1 Foley, Timothy C. 1 Hardy Callcott, W. 1 Murphy, Sean 1 Odem, Nathan H. B. 1 Odem, Nathan H.B. 1 Pittman, Edward 1 Post, Michael L. 1 R. Anderson, Scott 1 Tyrrell, Paul M. 1
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Published in...
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Journal of Investment Compliance 8 The journal of investment compliance 6 Journal of securities operations & custody 1
Source
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Other ZBW resources 8 ECONIS (ZBW) 7
Showing 1 - 10 of 15
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The Municipal Securities Rulemaking Board’s self-regulatory organisation (SRO) model
Post, Michael L. - In: Journal of securities operations & custody 10 (2017/2018) 2, pp. 176-183
Persistent link: https://www.econbiz.de/10011889914
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The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto - In: The journal of investment compliance 18 (2017) 1, pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
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The municipal advisor regulatory framework – where we are and where to next
Lanza, Ernesto - In: Journal of Investment Compliance 18 (2017) 1, pp. 53-57
Municipal Securities Rulemaking Board (MSRB), and regulatory compliance approaches, under the Dodd-Frank Wall Street Reform and …
Persistent link: https://www.econbiz.de/10014893625
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SEC approves new municipal advisor fiduciary duty rule
Wink, Stephen; Rienhardt, Anna; Ackerman, Brett M.; … - In: The journal of investment compliance 17 (2016) 2, pp. 43-49
Persistent link: https://www.econbiz.de/10011523877
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MSRB publishes its first compliance advisory for broker-dealers
Anderson, Scott R.; Poorbaugh, Kate S. - In: The journal of investment compliance 17 (2016) 3, pp. 49-51
Persistent link: https://www.econbiz.de/10011623098
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MSRB and FINRA issue joint notice cautioning broker-dealers and municipal advisors about bank loans
Huang, Juliet H.; Burr, James C.; Cosgrove, Richard A.; … - In: The journal of investment compliance 17 (2016) 3, pp. 52-54
Persistent link: https://www.econbiz.de/10011645753
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Cover Image
SEC approves new municipal advisor fiduciary duty rule
Wink, Stephen; Rienhardt, Anna; Ackerman, Brett M.; … - In: Journal of Investment Compliance 17 (2016) 2, pp. 43-49
Purpose To analyze the Municipal Securities Rulemaking Board’s new rule outlining the standards of conduct and …
Persistent link: https://www.econbiz.de/10014893677
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Cover Image
MSRB publishes its first compliance advisory for broker-dealers
Anderson, Scott R.; Poorbaugh, Kate S. - In: Journal of Investment Compliance 17 (2016) 3, pp. 49-51
Purpose To summarize the Municipal Securities Rulemaking Board’s 2016 Compliance Advisory for brokers, dealers and … municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules …
Persistent link: https://www.econbiz.de/10014893812
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Cover Image
MSRB and FINRA issue joint notice cautioning broker-dealers and municipal advisors about bank loans
Huang, Juliet H.; Burr, James C.; Cosgrove, Richard A.; … - In: Journal of Investment Compliance 17 (2016) 3, pp. 52-54
Securities Rulemaking Board (“MSRB”) and the Financial Industry Regulatory Authority (“FINRA”) regarding direct purchase or “bank …Purpose To alert lenders, broker-dealers and municipal advisors to a joint regulatory notice from the Municipal …
Persistent link: https://www.econbiz.de/10014893816
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The SEC's Municipal Advisor Rule will prompt new practices for market participants
Bannard, David; Groethe, Reed - In: The journal of investment compliance 15 (2014) 2, pp. 10-17
Persistent link: https://www.econbiz.de/10010396211
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