Select regulatory documents by category:
Notice 2024-12 - Approval Notice
Publication date:
Information for:
Dealers, General Public, Investors
SEC Filing SR-MSRB-2024-06
Publication date:
Notice 2024-11 - Informational Notice
Publication date:
Notice 2024-10 - Approval Notice
Publication date:
Information for:
Dealers, General Public, Investors
Rule Number:
Notice 2024-09 - Request for Comment
Publication date:
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Comment due:
- Association of Registration Management, Inc.: Letter from Richard Izzo, President, dated August 5, 2024
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated August 5, 2024
- Frost Bank Capital Markets Division: Letter from Jeff Beckel, SEVP and Director of Capital Markets, dated July 30, 2024
- Frost Bank Capital Markets Division: Email from Trevor Cross dated July 30, 2024
- 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
Notice 2024-08 - Informational Notice
Publication date:
Information for:
Dealers, General Public, Investors, Issuers
Rule Number:
SEC Filing SR-MSRB-2024-05
Publication date:
Notice 2024-07 - Informational Notice
Publication date:
Information for:
Bank Dealers, Dealers, General Public, Investors
SEC Filing SR-MSRB-2024-04
Publication date:
Notice 2024-06 - Informational Notice
Publication date:
Information for:
Dealers, General Public, Investors, Issuers
Rule Number:
SEC Filing SR-MSRB-2024-03
Publication date:
Notice 2024-05 - Informational Notice
Publication date:
Information for:
Municipal Advisors
Rule Number:
Notice 2024-04 - Informational Notice
Publication date:
Notice 2024-03 - Approval Notice
Publication date:
Notice 2024-02 - Informational Notice
Publication date:
Information for:
Dealers, Municipal Advisors
SEC Filing SR-MSRB-2024-01
Publication date:
Notice 2024-01 - Informational Notice
Publication date:
Information for:
Dealers, Municipal Advisors
Rule Number:
SEC Filing SR-MSRB-2023-07
Publication date:
Notice 2023-11 - Request for Comment
Publication date:
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Comment due:
Information for:
Dealers, General Public, Municipal Advisors
All Comments to Notice 2023-11
- Advisabilitys: Email from Andrew Boyack dated January 9, 2024
- Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
- American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
- Anonymous: Letter
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
- Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
- Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
- Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
- Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
- Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
- Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
- Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
- Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
- Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
- 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
- Shnayder, Yana: Email dated December 13, 2023
- 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
- Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
- Stern Brothers: Letter dated February 26, 2024
SEC Filing SR-MSRB-2023-06
Publication date:
Notice 2023-10 - Informational Notice
Publication date:
Information for:
Dealers, Municipal Advisors
Notice 2023-09 - Market Advisory
Publication date:
Information for:
Dealers, Issuers, Municipal Advisors
Notice 2023-08 - Request for Comment
Publication date:
|
Comment due:
Information for:
Bank Dealers, Dealers, General Public, Investors
Rule Number:
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
Notice 2023-07 - Approval Notice
Publication date:
Information for:
Municipal Advisors