News & Analysis as of

MSRB Rule G-42

Bracewell LLP

MSRB Comment Request on Draft FAQs Regarding Rule G-42 and Making Recommendations

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On February 15, 2018, the Municipal Securities Rulemaking Board (“MSRB”) published Notice 2018-03, requesting comment on draft frequently asked questions and proposed responses (“FAQs”). The draft FAQs address duties of...more

Burr & Forman

MSRB's G-42 Guidance Notes Ambiguities for MAs in Conduit Issues

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Last week, the MSRB issued “guidance” on the application of Rule G-42 conduct standards for Municipal Advisors in conduit issues. The “guidance” highlights ambiguities from the “for or on behalf” language in the MA Rule when...more

Burr & Forman

Municipal Conduct Rule G-42 Effective June 23

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The MSRB’s amended Rule G-42 becomes effective June 23, prescribing new conduct standards for municipal advisors and for the underwriters working with them. In advance of the effective date, the MSRB has published...more

Burr & Forman

SEC Approved Municipal Advisor Conduct Rule

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On Christmas Eve’s eve, the SEC approved, without change, the MSRB’s proposed conduct rule for municipal advisors. Broadly, the Rule imposes: New Rule G-42 has been in the works since January, 2014 and the MSRB filed two...more

Skadden, Arps, Slate, Meagher & Flom LLP

"MSRB Rulemaking Update: SEC Approves MSRB's Proposed Amendments to Gift Rule G-20, MSRB Files Second Amendment to Proposed Rule...

This is to update you about recent Municipal Securities Rulemaking Board (MSRB) actions. SEC Approves MSRB's Proposed Amendments to MSRB Rule G-20 and Related Recordkeeping - On November 6, 2015, the Securities and...more

Burr & Forman

MSRB Amends MA Conduct Rule Proposal Again For Small Exception to Principal Transaction Ban

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On November 9, the MSRB filed yet another amendment to its proposed Municipal Advisor conduct Rule G-42. The amendment adds Supplemental Material -.14 and -.15, creating a narrow exception to the principal-transaction ban for...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Extends Comment Period on Proposed Rule G-42, MSRB Files Partial Amendment"

On August 6, 2015, the Securities and Exchange Commission (“SEC”) filed an Order instituting proceedings intended to determine whether to approve or disapprove Proposed Municipal Securities Rulemaking Board (“MSRB”) Rule G-42...more

Skadden, Arps, Slate, Meagher & Flom LLP

"MSRB Announces Publication of Proposed Rule G-42 in Federal Register"

On May 11, 2015, the Municipal Securities Rulemaking Board (MSRB) announced that Proposed Rule G-42 (standards of conduct for nonsolicitor municipal advisors), with conforming changes to Rule G-8 (books and records), was...more

Skadden, Arps, Slate, Meagher & Flom LLP

"MSRB’s Rule G-42 Submitted to SEC for Approval; Rule G-44 Now in Effect"

This alert is to inform you that the Municipal Securities Rulemaking Board (MSRB) recently submitted Proposed Rule G-42 (standards of conduct for nonsolicitor municipal advisors) to the Securities and Exchange Commission...more

Skadden, Arps, Slate, Meagher & Flom LLP

"MSRB Actions Regarding Municipal Advisors: Release of Revised Draft Rule G-42 for Comment, and Submission of Proposed Rule G-44...

This mailing is to inform you of the Municipal Securities Rulemaking Board (MSRB) releasing Revised Draft Rule G-42 (setting forth duties of non-solicitor municipal advisors) for public comment, and submitting Proposed Rule...more

Ballard Spahr LLP

MSRB Seeks Second Round of Comments on Municipal Advisor Conduct Rule

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The Municipal Securities Rulemaking Board (MSRB) recently released a revised draft of Rule G-42 (Draft Rule G-42) following receipt of more than 40 comments on its Initial Draft Rule in January 2014. Rule G-42 regulates...more

Goodwin

MSRB Proposes New Conduct Rule for Non-Solicitor Municipal Advisors and Amendments to Books and Records Rules for Municipal...

Goodwin on

On January 9, 2014, the Municipal Securities Rulemaking Board (“MSRB”) published a request for comments on a proposed new conduct rule for non-solicitor municipal advisors and amendments to existing books and records rules to...more

Miller Canfield

Proposed New MSRB Rule on Standards of Conduct for Municipal Advisors

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On January 9, 2014 the Municipal Securities Rulemaking Board (MSRB) issued proposed Rule G-42 on the standards of conduct and duties of municipal advisors when engaging in municipal advisory activities other than making...more

Burr & Forman

The Municipal Securities Rulemaking Board And Rule G-42

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The Municipal Securities Rulemaking Board (“MSRB”) held a webinar Feb. 6, 2014 discussing its proposed Rule G-42 to impose a broad range of duties, proscriptions and documentation requirements upon non-solicitor Municipal...more

Burr & Forman

MSRB Proposes Conduct Rules For Municipal Advisors

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On Thursday, January 9, the MSRB re-proposed new Rule G-42 promulgating standards of conduct for Municipal Advisors (“MA’s”) subject to the almost-newly-effective SEC MA Rule, 17 CFR § §240.15Ba1-1 to 15Ba1-8 (now delayed...more

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