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Notice 2020-15 - Informational Notice
Publication date:
MSRB Makes Administrative Changes to Board Governance Rules
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-4

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Notice 2018-09 - Request for Comment
Publication date: | Comment due:
Request for Comment on Draft MSRB Rule G-36, on Discretionary Transactions in Customer Accounts, and Related Draft Amendments
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-36, Rule D-10

All Comments to Notice 2018-09

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018

2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018

 

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Notice 2009-45 - Informational Notice
Publication date:
Amendments Filed to Administrative Rules: Rules A-3, A-4, A-5 and A-6
Rule Number:

Rule A-3, Rule A-4, Rule A-5, Rule A-6

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Notice 2008-13 - Informational Notice
Publication date:
Amendment Files to Rule A-3, on Membmership on the Board, and Rule A-4, on Meetings of the Board
Rule Number:

Rule A-3, Rule A-4

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Notice 2002-36 - Informational Notice
Publication date:
Proposed Rule Change Concerning Market Emergencies Filed with the Securities and Exchange Commission
Rule Number:

Rule G-17, Rule A-4

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Notice 2001-44 - Informational Notice
Publication date:
Amendments to Rule A-4, on Meetings of the Board
Rule Number:

Rule A-4

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