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Notice - Request for Comment
Publication date: | Comment due:
Request for Information on the MSRB’s Rate Card Process
Information for:

Dealers, General Public, Municipal Advisors

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Notice 2024-13 - Informational Notice
Publication date:
MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

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Notice 2024-12 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-14, IF-1

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Notice 2024-09 - Request for Comment
Publication date: | Comment due:
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
Information for:

Bank Dealers, General Public, Investors

Rule Number:

Rule G-7, Rule A-12

  1. Association of Registration Management, Inc.: Letter from Richard Izzo, President, dated August 5, 2024 
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated August 5, 2024
  3. Frost Bank Capital Markets Division: Letter from Jeff Beckel, SEVP and Director of Capital Markets, dated July 30, 2024 
  4. Frost Bank Capital Markets Division: Email from Trevor Cross dated July 30, 2024
  5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated August 5, 2024
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Notice 2024-08 - Informational Notice
Publication date:
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

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Notice 2024-07 - Informational Notice
Publication date:
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-15

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Notice 2024-06 - Informational Notice
Publication date:
MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

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Notice 2023-11 - Request for Comment
Publication date: | Comment due:
Request for Information on Impacts of MSRB Rules on Small Firms
Information for:

Dealers, General Public, Municipal Advisors

All Comments to Notice 2023-11

  1. Advisabilitys: Email from Andrew Boyack dated January 9, 2024
  2. Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
  3. American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
  4. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
  5. Anonymous: Letter
  6. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
  7. Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
  8. Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
  9. Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
  10. Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
  11. Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
  12. Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
  13. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
  14. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
  15. Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
  16. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
  17. Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
  18. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated February 26, 2024
  19. Shnayder, Yana: Email dated December 13, 2023
  20. Siebert Williams Shank & Co., LLC: Letter from Suzanne Shank, President & Chief Executive Officer, and Gary Hall, President of Infrastructure & Public Finance, dated February 26, 2024
  21. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
  22. Stern Brothers: Letter dated February 26, 2024
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Notice 2023-08 - Request for Comment
Publication date: | Comment due:
Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12

  1. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
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Notice 2023-03 - Approval Notice
Publication date:
SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8
Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-46

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Notice 2023-02 - Request for Comment
Publication date: | Comment due:
Request for Comment Regarding a Retrospective Review of the MSRB’s Time of Trade Disclosure Rule and Draft Amendments to MSRB Rule D-15, On Sophisticated Municipal Market Professionals
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-47, Rule D-15

All Comments to Notice 2023-02

  1. AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
  3. College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
  4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
  5. McLane, Curtis: Email dated April 19, 2023
  6. my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
  7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
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Compliance Resource
Publication date:
LIBOR Transition Information
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

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Compliance Resource
Publication date:
Resources Related to 2019 Municipal Securities Examination Priorities
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

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Notice 2018-18 - Regulatory Reminder
Publication date:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44

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Compliance Resource
Publication date:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44, Rule A-12

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Compliance Resource
Publication date:
FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10

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Compliance Resource
Publication date:
MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

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Compliance Resource
Publication date:
Application of MSRB Rules to Solicitor Municipal Advisors
Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-42

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