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Municipal Securities Rulemaking Board Manual (MSRB) Municipal Securities Rulemaking Board Manual (MSRB)

Municipal Securities Rulemaking Board Manual (MSRB)

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Overview

Prior to 1975, the activities of brokers and dealers in municipal securities were substantially unregulated. Dealers engaged solely in the municipal securities business were not required to register with the SEC. After several fraud actions were taken in the 1970s, Congress decided that there was an increased need for investor protection through preventative regulation. That led to the enactment of the Securities Act Amendments of 1975, which required municipal dealers to register with the SEC and also established the Municipal Securities Rulemaking Board.

The Municipal Securities Rulemaking Board Manual provides municipal securities professionals with complete and current information concerning the regulations and requirements that govern the conduct of a municipal securities business. Subscribe today to:

  • Stay current on the dealings of the Municipal Rulemaking Board dealings with bimonthly updates
  • Ensure you're compliant with all rules and regulations
  • Get access to a complete listing of board members, Professional Staff and more
  • Monitor recent activities of the SEC and other applicable regulatory agencies

 

Product Line Wolters Kluwer Legal & Regulatory U.S.
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Product Line Wolters Kluwer Legal & Regulatory U.S.
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Table of Contents
  • History and Organization of the MSRB
  • Board Members
  • Professional Staff
  • Organizations Charged with Inspection Responsibility and Enforcement
  • Securities Exchange Act of 1934
  • Securities Investor Protection Act of 1970
  • Rules of the MSRB
  • Other Applicable Rules and Regulations: SEC Rules, Rules relating to Over-the-Counter Securities, Net Capital Rules, Board of Governors of the Federal Reserve System¿ Financial recordkeeping and Reporting of Currency and Foreign Transactions, Office of the Comptroller of the Currency, Board of the Governors of the Federal Reserve System, Federal Deposit Insurance Corporation
  • Forms
  • Volumes