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Notice 2024-15 - Request for Comment
Publication date: | Comment due:
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-32, Rule G-47

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Notice 2024-14 - Request for Comment
Publication date: | Comment due:
Request for Information on the MSRB’s Rate Card Process
Information for:

Dealers, General Public, Municipal Advisors

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Notice 2024-13 - Informational Notice
Publication date:
MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

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Notice 2024-12 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-14, IF-1

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Notice 2024-09 - Request for Comment
Publication date: | Comment due:
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
Information for:

Bank Dealers, General Public, Investors

Rule Number:

Rule G-7, Rule A-12

  1. Association of Registration Management, Inc.: Letter from Richard Izzo, President, dated August 5, 2024 
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated August 5, 2024
  3. Frost Bank Capital Markets Division: Letter from Jeff Beckel, SEVP and Director of Capital Markets, dated July 30, 2024 
  4. Frost Bank Capital Markets Division: Email from Trevor Cross dated July 30, 2024
  5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated August 5, 2024
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Notice 2024-08 - Informational Notice
Publication date:
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

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Notice 2024-07 - Informational Notice
Publication date:
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-15

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Notice 2024-06 - Informational Notice
Publication date:
MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

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Notice 2024-05 - Informational Notice
Publication date:
MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees
Information for:

Municipal Advisors

Rule Number:

Rule A-11

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Notice 2024-04 - Informational Notice
Publication date:
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
Rule Number:

Rule A-11, Rule A-13

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Notice 2024-02 - Informational Notice
Publication date:
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

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Notice 2024-01 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Notice 2023-11 - Request for Comment
Publication date: | Comment due:
Request for Information on Impacts of MSRB Rules on Small Firms
Information for:

Dealers, General Public, Municipal Advisors

All Comments to Notice 2023-11

  1. Advisabilitys: Email from Andrew Boyack dated January 9, 2024
  2. Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
  3. American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
  4. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
  5. Anonymous: Letter
  6. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
  7. Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
  8. Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
  9. Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
  10. Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
  11. Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
  12. Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
  13. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
  14. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
  15. Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
  16. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
  17. Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
  18. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated February 26, 2024
  19. Shnayder, Yana: Email dated December 13, 2023
  20. Siebert Williams Shank & Co., LLC: Letter from Suzanne Shank, President & Chief Executive Officer, and Gary Hall, President of Infrastructure & Public Finance, dated February 26, 2024
  21. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
  22. Stern Brothers: Letter dated February 26, 2024
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Notice 2023-10 - Informational Notice
Publication date:
MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

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