Select regulatory documents by category:
Municipal Advisors
Dealers, Municipal Advisors
Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Rule G-3, Rule G-7, Rule G-8, Rule G-9, Rule G-10, Rule G-11, Rule G-12, Rule G-13, Rule G-14, Rule G-15, Rule G-17, Rule G-18, Rule G-19, Rule G-20, Rule G-21, Rule G-23, Rule G-27, Rule G-32, Rule G-34, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule G-45, Rule G-47, Rule G-48, Rule A-11, Rule A-12, Rule A-13, Rule D-10
Dealers, Municipal Advisors
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Bank Dealers, Dealers, Issuers
Municipal Advisors
Bank Dealers, Dealers
All Comments to Notice 2018-22
1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018
3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018
4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018
5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018
6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018
7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018
9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018
Bank Dealers, Dealers
Municipal Advisors