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Notice 2025-02 - Request for Comment
Publication date: | Comment due:
Concept Release: MSRB Requests Comment on a Municipal Securities Pre-Trade Data Initiative [Withdrawn]
Information for:

Bank Dealers, Dealers, General Public, Investors

No comments received.

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Notice 2024-15 - Request for Comment
Publication date: | Comment due:
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-32, Rule G-47

Submit Comments
  1. ABLE Savings Plan Network: Letter from Bette Ann Mobley, Chair, dated April 10, 2025
  2. Arizona State Treasurer’s Office: Letter from Kimberly Yee, Treasurer, dated April 10, 2025
  3. Ascensus: Letter from Christal Fenton, Associate General Counsel, dated April 10, 2025
  4. Bank of North Dakota: Email from James Barnhardt dated April 3, 2025
  5. College Savings Foundation: Letter from Chris McGee, Chair, dated April 9, 2025
  6. College Savings Plans Network: Letter from Mary G. Morris, Chair, dated April 2, 2025
  7. Commonwealth Savers Plan: Letter from Mary G. Morris, Chief Executive Officer, dated April 11, 2025
  8. Investment Company Institute:  Letter from Tara Buckley, Deputy General Counsel, Financial Regulation, and Shannon Salinas, Associate General Counsel, Retirement Policy, dated April 11, 2025
  9. Illinois State Treasurer’s Office: Letter from Michael W. Frerichs, Treasurer, dated April 10, 2025
  10. Massachusetts Educational Financing Authority: Letter from Thomas M. Graf, Executive Director, dated April 9, 2025
  11. my529: Letter from Richard K. Ellis, Executive Director, dated March 31, 2025
  12. Nebraska State Treasurer’s Office: Letter from Rachel Biar, Deputy State Treasurer for Savings Programs, dated April 2, 2025
  13. Pennsylvania Treasury Department: Letter from Stacy Garrity, Treasurer, dated April 2, 2025
  14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Gerald O’Hara, Vice President and Assistant General Counsel, dated April 11, 2025
  15. TIAA-CREF Tuition Financing, Inc: Letter from Christopher S. Lynch, President, dated April 10, 2025
  16. Vestwell: Letter from Aaron Schumm, Chief Executive Officer, dated April 11, 2025
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Notice 2024-14 - Request for Comment
Publication date: | Comment due:
Request for Information on the MSRB’s Rate Card Process
Information for:

Dealers, General Public, Municipal Advisors

All Comments to Notice 2024-14

  1. American Securities Association: Letter from Jessica R. Giroux, General Counsel and Head of Fixed Income Policy, dated January 28, 2025
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 28, 2025
  3. ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated January 21, 2025
  4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 28, 2025
  5. Public Resources Advisory Group, Inc.: Letter from Thomas F. Huestis, Senior Managing Director, dated January 27, 2025
  6. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Gerald O’Hara, Vice President and Assistant General Counsel, dated January 28, 2025
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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

All Comments to Notice 2024-09

  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 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 2023-02 - 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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Notice 2022-13 - Request for Comment
Publication date: | Comment due:
Request for Comment on Draft Amendments to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-3

All Comments to Notice 2022-13

  1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
  3. Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022
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Notice 2022-11 - Request for Comment
Publication date: | Comment due:
Request for Comment on Draft Amendments to MSRB Rule G-32 to Streamline the Deadlines for Submitting Information on Form G-32
Rule Number:

Rule G-32

All Comments to Notice 2022-11

  1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, January 17, 2023
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 27, 2023
  3. XBRL US: Letter from Campbell Pryde, President and CEO, dated December 15, 2022
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