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MSRB Requests Comments on Draft Amendments to CUSIP Requirements

The MSRB requested comments on draft rule amendments that would (i) clarify the requirement for dealers to obtain CUSIPs for new issue securities sold in private placements, and (ii) subject a municipal advisor that is not a dealer to the CUSIP requirement for new securities sold in competitive offerings.

Comments on the proposed amendments must be submitted by March 31, 2017.

Primary Sources

  1. MSRB Regulatory Notice 2017-05: "Request for Comment on Draft Amendments to and Clarifications of MSRB Rule G-34, on Obtaining CUSIP Numbers"

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Tags

Regulated Entities
Broker-Dealers Muni Advisors
Regulated Products
Municipal Securities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
MSRB