Barclays Capital Inc. / Tradition Asiel Securities Inc. / TMC Bonds L.L.C. / MSRB / R.W. Smith & Associates Inc. / Frost Bank / J.W. Korth & Company LP / Seidel & Shaw LLC / Financial Industry Regulatory Authority / National Securities Clearing Corporation / Charles Schwab & Co. Inc. / /
Continent
America / /
Currency
USD / /
Event
Security Buyback / /
Facility
Investment Company Institute / Financial Services Institute / /
IndustryTerm
settlement infrastructure / trade reporting infrastructure / certain baseline technology / said technology / auction rate products / Web Portal / subscription services / market transparency systems / real-time needs / web-based manual input process / dealer back-office systems / market transparency products / modifications to its current systems / trade processing / straight-through processing approach / communications spanning data transport / baseline technology / Web-based trade input method / internal processing / voice brokerage / /
Organization
Middle Office / Securities Industry and Financial Markets Association / Government Accountability Office / U.S. Securities and Exchange Commission / Financial Services Institute / Municipal Securities Rulemaking Board / Investment Company Institute / NASD / /
Person
Daniel Rabasco / Leslie M. Norwood / Michael Nicholas / Scott Coya / Paige Pierce / Arsalan Shahid / Ronald W. Smith / Michael P. Moran / Robert N. Jacobs / Dorothy Donohue / David T. Bellaire / Thomas W. Shaw / James N. Fox / Thomas S. Vales / James Korth / Eric M. Earnhardt / Ernesto A. Lanza / Karen Du Brul / Justin R. Pica / / /
Position
Program Director / manager to a syndicate member / Corporate Secretary / President / Executive Vice President and General Counsel / Deputy Executive Director / manager / broker / Chief Executive Officer / manager for multiple deals / SVP and Managing Director / General / underwriter / General Counsel / syndicate manager / Chief Compliance Officer / underwriter / syndicate manager / Associate General Counsel / Director / Municipal Compliance / Director / Product Management / Assistant Vice President/Compliance Officer / Managing Director / Vice President / Fixed Income Compliance / trader / dealer / manager / syndicate member / /
ProvinceOrState
Virginia / /
Technology
certain baseline technology / baseline technology / Information Technology / data protocol / /
MSRB NOTICEJANUARY 17, 2013) REQUEST FOR COMMENT ON MORE CONTEMPORANEOUS TRADE PRICE INFORMATION THROUGH A NEW CENTRAL TRANSPARENCY PLATFORM The Municipal Securities Rulemaking Board (“MSRB”) is seeking com