Select regulatory documents by category:
Back to top
Notice 2020-09 - Informational Notice
Publication date:
Notice 2020-08 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Notice 2020-07 - Informational Notice
Publication date:
Notice 2020-06 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2020-05 - Informational Notice
Publication date:
Notice 2020-04 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2020-03 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

Notice 2020-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

All Comments to Notice 2020-02

1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated April 29, 2020

2. Action Center on Race and the Economy, AFSCME, AFL-CIO, Americans for Financial Reform Education Fund, Consumer Federation of America and Public Citizen: Letter dated April 29, 2020

3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 29, 2020

4. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated April 29, 2020

5. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated April 15, 2020

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 29, 2020

7. National Association of State Auditors, Comptrollers and Treasurers: Letter from Beth Pearce, President, dated April 30, 2020

8.  National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated April 28, 2020

9. National Federation of Municipal Analysts: Letter from Nicole Byrd, Chair, dated April 29, 2020

10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel, dated April 29, 2020

11. Steve Apfelbacher, Renee Boicourt, Marianne Edmonds, Robert Lamb, Nathaniel Singer and Noreen White [former MSRB Board members]: Letter dated April 29, 2020

Notice 2020-01 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11

Notice 2019-20 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2019-19 - Informational Notice
Publication date:
Notice 2019-18 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-17 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2019-16 - Approval Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2019-13 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-23

All Comments to Notice 2019-13

1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019

3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019

4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019

5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman

6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019

7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019

8. KPM Financial, LLC: Letter from Jay Saunders, Director

9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019

10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019

11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019

12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019

13. Richard Li: Email dated January 29, 2020

14. Robert W. Doty: Letter dated August 19, 2019 

15.Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice-President and Assistant General Counsel, dated August 19, 2019

16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019

17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019

18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019

Compliance Resource
Publication date:
Compliance Resource
Publication date:
Notice 2019-11 - Informational Notice
Publication date:
Notice 2019-09 - Informational Notice
Publication date:
Notice 2019-08 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-34

All Comments to Notice 2019-08

1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019

2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019

3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019

4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019

5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019

7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019

8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019

Notice 2019-07 - Informational Notice
Publication date:
Notice 2019-06 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-16

Notice 2019-04 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors