Back to top

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.

Company Name
Show results
MSRB Number Company Name EBS ID Sort descending
A4565 ST. BERNARD FINANCIAL SERVICES, INC. KEEN
A4565 ST. BERNARD FINANCIAL SERVICES, INC. KEEN
A0823 KENSINGTON CAPITAL CORP. KENS
A0823 KENSINGTON CAPITAL CORP. KENS
A0953 KEYBANC CAPITAL MARKETS INC. KEYB
A0953 KEYBANC CAPITAL MARKETS INC. KEYB
A6910 ARETE WEALTH MANAGEMENT, LLC KEYS
A6910 ARETE WEALTH MANAGEMENT, LLC KEYS
A0835 KIMELMAN & BAIRD, LLC KIML
A0835 KIMELMAN & BAIRD, LLC KIML
A0836 CL KING AND ASSOCIATES, INC. KING
A0836 CL KING AND ASSOCIATES, INC. KING
A6708 KEY INVESTMENT SERVICES LLC KISL
A6708 KEY INVESTMENT SERVICES LLC KISL
A7502 KINGSWOOD CAPITAL PARTNERS, LLC KNGW
A7502 KINGSWOOD CAPITAL PARTNERS, LLC KNGW
A5250 KOVACK SECURITIES, INC. KOVP
A5250 KOVACK SECURITIES, INC. KOVP
A5250 KOVACK SECURITIES, INC. KOVS
A5250 KOVACK SECURITIES, INC. KOVS
A5374 KR SECURITIES, LLC KRCO
A5374 KR SECURITIES, LLC KRCO
A3698 JW KORTH & COMPANY KRTH
A3698 JW KORTH & COMPANY KRTH
A0854 KUYKENDALL & SCHNEIDER, INC. KUYK