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Regulatory Document Type

Notice 2019-09 - Informational Notice
Publication date:
Notice 2019-08 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-34

All Comments to Notice 2019-08

1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019

2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019

3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019

4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019

5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019

7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019

8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019

Notice 2019-07 - Informational Notice
Publication date:
Notice 2019-06 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-16

Notice 2019-05 -
Publication date:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2019-04 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource
Publication date:
Notice 2019-03 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-02 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-20

Notice 2019-01 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

All Comments to Notice 2019-01

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 5, 2019

2. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill, CEO, dated March 7, 2019

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2019

Notice 2017-25 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

Notice 2017-24 - Approval Notice
Publication date:
Notice 2017-23 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2017-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 9, 2018

2. Breena LLC: Email from G. Letti dated November 16, 2017

3. Caine Mitter & Associates Incorporated: Email from Thomas Caine dated February 5, 2018

4. College Savings Foundation: Letter from Richard J. Polimeni, Chairman, dated February 9, 2018

5. Darren Ward: Email dated December 8, 2017

6. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated February 9, 2018

7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated February 13, 2018

8. Investment Company Institute: Letter from Tamara K. Salmon, Associate General Counsel, dated December 21, 2017

9. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated February 23, 2018

10. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated January 29, 2018

11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 9, 2018

12. National Association of State Treasurers and College Savings Plans Network: Letter from Elizabeth Pearce, NAST President and Vermont State Treasurer, and James DiUlio, CSPN Chair and Executive Director, Wisconsin 529 College Savings Program, dated February 9, 2018

13. PFM: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated February 12, 2018

14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 23, 2018

15. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated February 9, 2018

Notice 2017-21 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Interpretive Guidance - Interpretive Notices
Publication date:
Notice Regarding Electronic Delivery and Receipt of Information by Municipal Advisors
Rule Number:

Rule G-32

 

In November 1998, the MSRB published an interpretation about the use of electronic media to deliver and receive information by brokers, dealers and municipal securities dealers under Board rules (the “1998 interpretation”).  Since that time, the MSRB has been granted rulemaking authority over municipal advisors, and in the exercise of that authority, the MSRB has been developing a comprehensive regulatory framework for municipal advisors.

 

The Board believes that the use of electronic media to deliver and receive information under Board rules also is important for municipal advisors, and extends the guidance provided in the 1998 interpretation, as relevant, to municipal advisors.  See Rule G-32 Interpretation – Notice Regarding Electronic Delivery and Receipt of Information by Brokers, Dealers and Municipal Securities Dealers (November 20, 1998).

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