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Notice Regarding Electronic Delivery and Receipt of Information by Municipal Advisors
In November 1998, the MSRB published an interpretation about the use of electronic media to deliver and receive information by brokers, dealers and municipal securities dealers under Board rules (the “1998 interpretation”). Since that time, the MSRB has been granted rulemaking authority over municipal advisors, and in the exercise of that authority, the MSRB has been developing a comprehensive regulatory framework for municipal advisors.
The Board believes that the use of electronic media to deliver and receive information under Board rules also is important for municipal advisors, and extends the guidance provided in the 1998 interpretation, as relevant, to municipal advisors. See Rule G-32 Interpretation – Notice Regarding Electronic Delivery and Receipt of Information by Brokers, Dealers and Municipal Securities Dealers (November 20, 1998).
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated November 16, 2017
2. City of San Diego: Letter
3. Global Legal Entity Identifier Foundation: Email from Stephan Wolf dated November 6, 2017
4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated November 27, 2017
5. Michael Paganini: Email dated September 15, 2017
6. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated November 17, 2017
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 13, 2017
8. National Federation of Municipal Analysts: Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated November 9, 2017
9. Robert W. Doty: Letter dated November 2, 2017
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2017
11. TMC Bonds: Letter from John S. Craft, Managing Director, dated November 13, 2017
12. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated November 1, 2017
