The list below includes all MSRB registrants that have reported to the MSRB that they are effecting municipal securities transactions; this is not a complete list of all dealers registered with the MSRB. This list is provided to facilitate transaction reporting of municipal securities under MSRB Rule G-14, which requires dealers to report both customer and inter-dealer transactions to the MSRB using the four character (alpha) symbol assigned by NASDAQ.(Click here to see Rule G-14)
Inter-dealer Transactions: MSRB Rule G-14 requires dealers to report inter-dealer transactions to the MSRB through the Real Time Trade Matching (RTTM) system operated by the Depository Trust Clearing Corporation (DTCC). The procedures for reporting inter-dealer transactions require that dealers identify themselves and the contra-parties with which they are effecting transactions. Like the Real-Time Trade Reporting System (RTRS), the dealer identifiers used in the RTTM system must include the identifying (alpha) symbols assigned to each firm by NASDAQ. This is included in the field labeled "executing broker symbol.” The list below is designed to help research the broker symbols of other dealers who effect municipal securities transactions and to confirm that the effecting firm is known by the MSRB under the correct company name and executing broker symbol.
MSRB Number Sort descending | Company Name | EBS ID |
---|---|---|
A7285 | TD PRIVATE CLIENT WEALTH LLC | TDPW |
A7296 | EMPIRE STATE FINANCIAL, INC. | HAVK |
A7298 | FOUR POINTS CAPITAL PARTNERS LLC | AFSS |
A7303 | FALCON SQUARE CAPITAL, LLC | FALC |
A7305 | JANE STREET CAPITAL, LLC | JASC |
A7307 | SNOWDEN ACCOUNT SERVICES LLC | SNWS |
A7312 | SANTANDER US CAPITAL MARKETS LLC | PPSL |
A7317 | CU INVESTMENT SOLUTIONS LLC | UCCM |
A7319 | MINISTRY PARTNERS SECURITIES, LLC | MINP |
A7327 | STONEX FINANCIAL INC. | IFCS |
A7327 | STONEX FINANCIAL INC. | INTL |
A7327 | STONEX FINANCIAL INC. | FCST |
A7327 | STONEX FINANCIAL INC. | SALI |
A7327 | STONEX FINANCIAL INC. | MITR |
A7327 | STONEX FINANCIAL INC. | NCPI |
A7334 | MILLENNIUM ADVISORS LLC | MADV |
A7334 | MILLENNIUM ADVISORS LLC | MILN |
A7338 | REGULUS FINANCIAL GROUP, LLC | REGL |
A7339 | DFPG INVESTMENTS LLC | DFPG |
A7346 | COPPER FINANCIAL | CAFS |
A7349 | BOREAL CAPITAL SECURITIES, LLC | MORA |
A7350 | SAFRA SECURITIES LLC | SSCO |
A7353 | TD SECURITIES AUTOMATED TRADING, LLC | HEAD |
A7353 | TD SECURITIES AUTOMATED TRADING, LLC | TDMP |
A7363 | FHN FINANCIAL SECURITIES CORP | FTSC |