MSRB 1994 Reports
Volume 14, Number 1 (January 1994)
Page 3 G-37: Proposed Rule Filed, Political Contributions on Municipal Securities Business
Page 11 Record keeping and Record Retention Requirements Relating to Gifts
Page 13 Board to Proceed with Pilot Program to Disseminate Inter-Dealer Transaction Information
Page 17 Developments Concerning T+3 Settlement and Automated Clearance and Settlement Rules
Page 19 G-19 and G-8: Suitability of Recommendations and Related Record keeping Requirements
Page 25 G-35: Arbitration Changes Amendments Approved
Page 31 Disclosures in Connection with New Issues
Volume 14, Number 2 (March 1994)
Page 3 T+3 Settlement for the Municipal Securities Market
Page 15 G-34: Requiring Underwrites to Apply for Depository Eligibility of New Issues Comments Requested
Page 19 G-12: Notice Enforcement Initiative
Page 21 G-15: Automated Clearance and Settlement
Page 23 SEC Releases on Municipal Securities
Page 57 Arbitrator Training
Volume 14, Number 3 (June 1994)
Page 3 G-37: Rule and Filing Procedures Approved, Political Contributions and Prohibitions on Municipal Securities Business
Page 11 G-37: Questions and Answers
Page 17 G-37: Amendments Filed, Political Contributions and Prohibitions on Municipal Securities Business Approved
Page 21 G-8 and G-9: Record keeping and Record Retention Requirements Relating to Gifts and Gratuities
Page 23 G-8 and G-19: Amendments Approved, Suitability of Recommendations and Related Record keeping Requirements
Page 27 G-15(a): Comments Requested, Customer Confirmations
Page 35 G-12: Notice Enforcement Initiative
Page 37 G-15(a): Use of the OASYS Global Trade Confirmation System to Satisfy Rule G-15(a)
Volume 14, Number 4 (August 1994)
Page 3 G-12 and G-15: Amendments Filed, T+3 Settlement
Page 7 G-14: Reporting Inter-Dealer Transactions to the Board, Amendment and Transaction Procedures Filed
Page 11 G-3: Continuing Education Requirements, Comments Requested
Page 15 Status Report on the Continuing Education Program
Page 23 G-37 and G-8: Political Contributions and Prohibitions on Municipal Securities Business, Amendments Approved
Page 27 G-37: Political Contributions and Prohibitions on Municipal Securities Business Amendments Filed and Additional Questions and Answers Notice Published
Page 33 Instructions for Completing and Filing Form G-37
Page 37 Board’s Comment Letter on SEC Releases Concerning Municipal Securities Disclosures
Page 43 G-34: Requiring Underwrites to Apply for Depository Eligibility of New Issues, Amendment Filed
Page 47 A-13: Underwriting Assessment Amendment Filed
Page 49 G-8 and G-9: Record keeping and Record Retention Requirements Relating to Gifts and Gratuities, Amendment Approved
Page 51 MSIL System Change Amendment to Facility Filed
Volume 14, Number 5 (December 1994)
Page 3 G-14: Reporting Inter-Dealer Transactions to the Board Amendment and Transaction Reporting Procedures Approved
Page 7 Political Contributions and Prohibitions on Municipal Securities Business, Board
withdraws from SEC Certain Amendment and Publishes Additional Q & A’s under G-37
Page 9 A-13: Underwriting Assessment, Amendment Approved
Page 11 G-3: Continuing Education Requirements Amendment Filed
Page 15 Requiring Underwrites to Apply for Depository Eligibility of New Issues
Page 17 G-37: Letter of Interpretation
Page 19 Recommendations Requested for Board Nominations
Page 21 Recommendation Form
Page 23 T+3 Brochure Available
Page 25 SEC Adopts Amendments to Rules Relating to Municipal Securities Disclosure and Confirmation of Transactions
