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

Dealers, General Public, Municipal Advisors

Notice 2024-13 - Informational Notice
Publication date:
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Dealers, General Public, Investors, Issuers, Municipal Advisors

Notice 2024-12 - Approval Notice
Publication date:
Notice 2024-09 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, General Public, Investors

Rule Number:

Rule G-7, Rule A-12

  1. Association of Registration Management, Inc.: Letter from Richard Izzo, President, dated August 5, 2024 
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated August 5, 2024
  3. Frost Bank Capital Markets Division: Letter from Jeff Beckel, SEVP and Director of Capital Markets, dated July 30, 2024 
  4. Frost Bank Capital Markets Division: Email from Trevor Cross dated July 30, 2024
  5. 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:
Notice 2024-07 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-15

Notice 2024-06 - Informational Notice
Publication date:
Notice 2023-11 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Municipal Advisors

All Comments to Notice 2023-11

  1. Advisabilitys: Email from Andrew Boyack dated January 9, 2024
  2. Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
  3. American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
  4. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
  5. Anonymous: Letter
  6. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
  7. Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
  8. Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
  9. Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
  10. Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
  11. Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
  12. Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
  13. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
  14. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
  15. Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
  16. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
  17. Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
  18. 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
  19. Shnayder, Yana: Email dated December 13, 2023
  20. 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
  21. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
  22. Stern Brothers: Letter dated February 26, 2024
Notice 2023-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12

  1. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
Notice 2023-03 - Approval Notice
Publication date:
Notice 2023-02 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-47, Rule D-15

All Comments to Notice 2023-02

  1. AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
  3. College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
  4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
  5. McLane, Curtis: Email dated April 19, 2023
  6. my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
  7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2022-10 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Compliance Resource
Publication date:
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2021-17 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Fund Securities

All Comments to Notice 2021-17

Summary of Responses to the MSRB's Request for Information on ESG Practices in the Municipal Securities Market (August 2022)

1. 1919 Investment Counsel, LLC: Letter from Robert Fisher, Vice President, Credit Analyst - Municipal

2. AGVP Advisory: Email from Dan Aschenbach dated January 18, 2022

3. American Bankers Association: Letter from Justin M. Underwood, Executive Director, ABASA, Vice President, Banking Policy, dated March 8, 2022

4. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated March 8, 2022

5. Anonymous: Email dated February 21, 2022

6. Baker Tilly Municipal Advisors, LLC: Letter from the BTMA Disclosure Leadership Team: Brian Colton, Susan Reed and Alyssa Glaser, dated March 8, 2022

7. Bloomberg L.P.: Letter from Gregory Babyak, Global Head of Regulatory Affairs, dated March 8, 2022

8. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated March 8, 2022

9. Breckinridge Capital Advisors, Inc.: Letter from Adam Stern, Co-Head of Research, dated February 7, 2022

10. Build America Mutual: Letter from Laura Levenstein, Chief Risk Officer, and Michael Stanton, Head of Strategy & Communications, dated March 8, 2022

11. California Green Bond Market Development Committee (CGBMDC): Letter from David Wooley, Cecilia Latapi, and Michael Paparian, Secretariat for CGBMDC, dated March 8, 2022

12. Center for American Progress: Letter from Alexandra Thornton, Senior Director, Tax Policy, and Kevin DeGood, Director, Infrastructure Policy, dated March 8, 2022

13. Ceres and the Ceres Accelerator for Sustainable Capital Markets: Letter from Steven M. Rothstein, Managing Director, and Jim Scott, Senior Advisor, Financial Institutions, dated March 2, 2022

14. City of Detroit: Letter

15. City of New York, Office of the Comptroller: Letter from Marjorie E. Henning, Deputy Comptroller for Public Finance, dated March 7, 2022

16. City of San Diego, Debt Management: Letter from Lakshmi Kommi, Debt Management Director, dated March 9, 2022

17. Climate Resilience Consulting: Email from Joyce Coffee dated December 17, 2021

18. Community Capital Management, LLC: Letter from Julie Egan, Director of Research/Portfolio Manager

19. Consumer Federation of America: Letter from Dylan Bruce, Financial Services Counsel, dated March 14, 2022

20. Disclosure Industry Workgroup: Letter dated March 8, 2022

21. Domini Impact Investments LLC: Letter from Mary Beth Gallagher, Director of Engagement, dated March 8, 2022

22. Goldman Sachs: Letter

23. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated March 8, 2022

24. Intercontinental Exchange, Inc.: Letter from Anthony Belcher, Vice President, Sustainable Finance, dated March 14, 2022

25. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated March 8, 2022

26. ISS ESG: Letter from Maximilian Horster, Head of ISS ESG Business, and John McLean, ISS ESG, Muni QualityScore, dated March 8, 2022

27. Kestrel 360, Inc.: Letter from Monica Reid, CEO and Founder, dated March 2022

28. Lansing Board of Water & Light: Email from Heather Shawa, dated March 3, 2022

29. Large Public Power Council: Letter from John Di Stasio, President, dated March 22, 2022

30. Lord Abbett & Co. LLC: Letter from Daniel S. Solender, Partner and Director of Tax Free Fixed Income

31. Ludvigsen, Phillip J.: Letter 

32. MacKay Shields: Letter

33. McIntyre, James: Letter dated March 8, 2022

34. Milken Institute Center for Financial Markets: Letter from Dan Carol, Senior Director, Milken Institute Center for Financial Markets, and Caitlin MacLean, Senior Director, Innovative Finance, Milken Institute, and members of the Milken Institute Public Finance Advisory Council, dated March 8, 2022

35. National Association of Bond Lawyers: Letter from Ann D. Fillingham, President, dated March 7, 2022

36. National Association of College and University Business Officers: Letter from Elizabeth L. Clark, Vice President, Policy and Research, dated March 8, 2022

37. National Association of Health and Educational Facilities Finance Authorities: Letter from Dennis Reilly, President, and Charles Samuels, of Counsel, dated March 7, 2022

38. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 8, 2022

39. National Federation of Municipal Analysts: Letter from Lisa S. Good dated March 8, 2022

40. New Jersey Infrastructure Bank: Letter dated March 8, 2022

41. New York City Housing Development Corporation: Letter from Ellen K. Duffy, EVP Debt Issuance & Finance

42. PFM Financial Advisors, LLC: Letter from Cheryl Maddox, Chief Legal and Compliance Officer, and Daniel Hartman, Chief Executive Officer, dated March 7, 2022

43. PIMCO: Letter from David Hammer, Managing Director and Head of Municipal Bond Portfolio Management, dated March 4, 2022\

44. Principles for Responsible Investment: Letter from Greg Hershman, Head of US Policy, dated March 8, 2022

45. Public Finance Initiative: Letter from Lourdes German, Executive Director, dated March 8, 2022

46. San Francisco Public Utilities Commission: Letter

47. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 8, 2022

48. Sperry Capital Inc.: Letter from Bryant Jenkins, Principal, dated March 8, 2022

49. State of Florida, Division of Bond Finance: Letter dated March 8, 2022

50. State of Wisconsin, Department of Administration: Letter from David R. Erdman, Capital Finance Director, dated March 8, 2022

51. TIAA: Letter from Amy M. O'Brien, Executive Vice President, Head of Responsible Investment, and Yves P. Denize, Senior Managing Director, Division General Counsel, dated March 8, 2022

52. Utah State Treasurer et al.: Letter dated March 8, 2022

 

Notice 2021-15 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2020-16 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Compliance Resource
Publication date:
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

Compliance Resource
Publication date:
Notice 2018-31 - Approval Notice
Publication date:
Notice 2018-18 - Regulatory Reminder
Publication date:
Information for:

General Public, Investors, Issuers, Municipal Advisors