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  • Specifications For The Preliminary Official Statement Submission ... - Msrb

Get Specifications For The Preliminary Official Statement Submission ... - Msrb

Urity types for 529 College Savings Plan and Other Municipal Fund Security Modified Figures 2,3,4,5, and 6 removed specifications and example XML for 529 College Savings Plan and Other Municipal Fund Security 2 TABLE OF CONTENTS OTHER RESOURCES ........................................................................................................ 4 CONTACT INFORMATION ............................................................................................. 4 INTRODUCTION.

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Rule G-32 requires that firms must provide their customers copy of the official statement for an offering if a transaction occurs within the primary offering disclosure period (defined as the period beginning when the first order is submitted to the underwriter or the date the underwriter purchases the securities from ...

Rule G-27 requires, among other things, that each dealer establish and maintain a supervisory system, including written supervisory procedures, to supervise the municipal securities activities of each registered representative, registered principal and associated person that is reasonably designed to achieve compliance ...

The MSRB's Rule G-17, known as the “fair dealing” rule,1 sets out specific requirements that an underwriter must follow when communicating to and working with a state or local government throughout the new issuance process for municipal securities, particularly for negotiated offerings.

Underwriters must submit the official statement to the MSRB within one business day of receipt of the official statement from the issuer, but by no later than the closing date for the offering.

Rule 15c2-12 of the Securities Exchange Act of 1934 requires dealers, when underwriting certain types of municipal securities, to obtain certain information about the securities as well as make sure that the issuer or obligated person has agreed (in a written agreement usually referred to as a “continuing disclosure ...

MSRB rule G-14 requires brokers, dealers and municipal securities dealers (dealers) to report to the MSRB their municipal securities transactions with customers each business day, effective January 1, 1998. Dealers also are required to participate in mandatory system testing with the MSRB prior to that time.

In contrast, rule G-36(c)(i) currently requires that the underwriter send the official statement to the MSRB by the business day after the bond closing, regardless of whether the underwriter has in fact received the official statement by such day.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232