Select regulatory documents by category:

Regulatory Document Type

Back to top
Notice 2019-01 - Request for Comment
Publication date: | Comment due:
Request for Comment on Draft Interpretive Guidance on Application of MSRB Rules to Certain Prearranged Trading in Connection with Primary Offerings
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-17, Rule G-25

All Comments to Notice 2019-01

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 5, 2019

2. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill, CEO, dated March 7, 2019

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2019

Share
Print