MSRB NOTICE 2001-04 (FEBRUARY 1, 2001)

SELF-MONITORING OF RULE G-14 COMPLIANCE

So that dealers can check their compliance with rule G-14 on transaction reporting, the MSRB can now provide dealers with access to their transactions stored in the Board’s Transaction Reporting System database. Only dealers registered with the MSRB are allowed to request a copy of transaction data which has been submitted to the MSRB; and dealers are allowed to request only the data compiled about their own trades.

The rule G-14 compliance information will be accessible through the Board’s web site (www.msrb.org).  Dealers may access the “Dealer Feedback System” page through the Transaction Reporting System section of the web site.  The rule G-14 compliance page contains detailed instructions on how to obtain the data.

Questions about the compliance information should be addressed to John Baughman, Senior Data Analyst, or Karl Eiholzer, Transaction Reporting Specialist, and they may be reached at (202) 223-9347.

Click here to go to the rule G-14 compliance page.