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Notice 2014-09 - Informational Notice
Publication date:
MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals
Information for:

Municipal Advisors

Rule Number:

Rule A-11

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Notice 2011-34 - Request for Comment
Publication date: | Comment due:
MSRB Files Proposal to Establish Interim Municipal Advisor Assessment and Seeks Comment on Draft Municipal Advisor Survey
Rule Number:

Rule A-11

1.  Kaplan Financial Consulting, Inc.: E-mail from Dan Kaplan, dated July 29, 2011

2.  Kitahata & Company: E-mail from Gary Kitahata, Principal, dated July 26, 2011

3.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated August 29, 2011

4.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 12, 2011

5.  Repsholdt, John V.: Letter dated August 29, 2011

6.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated September 12, 2011

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Notice 2009-45 - Informational Notice
Publication date:
Amendments Filed to Administrative Rules: Rules A-3, A-4, A-5 and A-6
Rule Number:

Rule A-3, Rule A-4, Rule A-5, Rule A-6

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Notice 2008-13 - Informational Notice
Publication date:
Amendment Files to Rule A-3, on Membmership on the Board, and Rule A-4, on Meetings of the Board
Rule Number:

Rule A-3, Rule A-4

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Notice 2006-14 - Informational Notice
Publication date:
Amendment Filed to Rule A-11, on Indemnification of Members and Employees
Rule Number:

Rule A-11

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Notice 2002-36 - Informational Notice
Publication date:
Proposed Rule Change Concerning Market Emergencies Filed with the Securities and Exchange Commission
Rule Number:

Rule G-17, Rule A-4

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Notice 2001-44 - Informational Notice
Publication date:
Amendments to Rule A-4, on Meetings of the Board
Rule Number:

Rule A-4

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Compliance Resource
Publication date:
MSRB Registration Manual
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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