Electronic Mail Contacts

Rule G-40. (a)(i) Each broker, dealer or municipal securities dealer shall maintain an Internet electronic mail account to permit communication with the MSRB, and shall appoint a Primary Electronic Mail Contact to serve as the official contact person for purposes of electronic mail communication between the broker, dealer or municipal securities dealer and the MSRB. Each Primary Electronic Mail Contact shall be a registered municipal securities principal (Series 53 or Series 51) of the broker, dealer or municipal securities dealer.

(b)(i) Upon completion of its Rule A-12 submissions and assignment of an MSRB Registration Number, each broker, dealer or municipal securities dealer shall electronically submit to the MSRB a completed Form G-40 setting forth, in the prescribed format, the following information:

(c) (i) Each broker, dealer or municipal securities dealer shall review and, if necessary, update information on its Primary Electronic Mail Contacts and submit such information electronically to the MSRB within 17 business days after the end of each calendar year.

(ii) Any broker, dealer or municipal securities dealer that, during the 17 business-day update period, submits its initial Form G-40 or modifies or affirms information relating to its Primary Electronic Mail Contact shall be deemed to be in compliance with the annual update requirement applicable to the year immediately preceding that 17 business-day update period.

(d)  Each broker, dealer or municipal securities dealer shall promptly comply with any request by the appropriate regulatory agency (as defined in Section 3(a)(34) of the Act) for required Primary Electronic Mail Contact information, but in any event not later than 15 days following any such request, or such longer period that may be agreed to by the appropriate regulatory agency.