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Municipal Securities Rulemaking Board
Results: 1131

#	Item
221	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 3, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-11-03 13:13:45 Financial markets Self-regulatory organizations United States securities law Municipal Securities Rulemaking Board Financial regulation United States Securities and Exchange Commission Security U.S. Securities and Exchange Commission Municipal bond Financial economics Finance Financial system
222	National Association of Independent Public Finance Advisors P.O. Box 304 Montgomery, Illinois[removed][removed] • [removed]Fax www.naipfa.com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-27 12:08:03 United States administrative law Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Financial adviser Rulemaking Fiduciary Investor Protection and Securities Reform Act Law Municipal Securities Rulemaking Board Financial regulation
223	Cristeena Naser Vice President Center for Securities, Trust & Investments BY ELECTRONIC MAIL Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-28 09:27:34 Business Municipal Securities Rulemaking Board United States federal banking legislation Finance Personal fiduciary services Dodd–Frank Wall Street Reform and Consumer Protection Act Fiduciary Office of the Comptroller of the Currency U.S. Securities and Exchange Commission Law Self-regulatory organizations Financial regulation
224	Dave A. Sanchez, Attorney at Law August 25, 2014 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-26 13:36:25 Financial economics Business Municipal Securities Rulemaking Board Financial regulation U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial adviser Securities Exchange Act Investment Advisor Self-regulatory organizations Finance United States securities law
225	Wells Fargo Advisors, LLC Regulatory Policy One North Jefferson Avenue St. Louis, MO[removed]HO004[removed] (t) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-30 13:49:27 Financial regulation Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Security Business Economy of the United States Self-regulatory organizations United States securities law Municipal Securities Rulemaking Board
226	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 3, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-11-03 13:08:54 Financial markets Self-regulatory organizations United States securities law Municipal Securities Rulemaking Board Financial regulation United States Securities and Exchange Commission Security Municipal bond U.S. Securities and Exchange Commission Financial economics Investment Finance
227	Microsoft Word - MSRB G-3 SEC Letter Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-20 08:30:00 Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Finance Investment Company Institute Mutual fund Financial economics Investment Self-regulatory organizations
228	COOPERMAN ASSOCIATES Independent Public Finance Consultants Regis. with SEC and MSRB 111 Anza Boulevard, Ste. 107 Burlingame, CA 94010 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-02 10:52:58 Financial regulation U.S. Securities and Exchange Commission United States securities law Financial system Securities Exchange Act Broker-dealer Tower Amendment Self-regulatory organizations Municipal Securities Rulemaking Board Financial economics
229	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 27, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-08-27 06:32:39 Financial economics Finance 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Form 144 Municipal Securities Rulemaking Board United States securities law United States Securities and Exchange Commission Financial regulation
230	September 29, 2014 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC[removed]Re: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-30 13:51:23 Self-regulatory organizations Stock market Financial markets Municipal Securities Rulemaking Board Bonds U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Financial Industry Regulatory Authority Electronic Municipal Market Access Financial economics Finance Financial system

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