Comments on MSRB Rulemaking

Notice of Filing of a Proposed Rule Change Consisting of Proposed Rule G-43, on Broker's Brokers; Proposed Amendments to Rule G-8, on Books and Records, Rule G-9, on Record Retention, and Rule G-18, on Execution of Transactions; and a Proposed Interpretive Notice on the Duties of Dealers that Use the Services of Broker's Brokers

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Date Received
Date Letter Type Commenter Name
Public Comment August J. Hoerrner, Senior Managing Director, Chapdelaine Tullett Prebon, LLC
Public Comment Margaret C. Henry, General Counsel, Market Regulation, Municipal Securities Rulemaking Board, Alexandria, Virginia
Public Comment Paige W. Pierce, President & CEO, RW Smith & Associates, Inc.
Public Comment Mark J. Epstein, President & CEO, Hartfield, Titus & Donnelly
Public Comment John Webber, CCO, Advisors Asset Management, Inc., Boerne, Texas
Public Comment Michael Nicholas, CEO, The Bond Dealers of America, Washington, District of Columbia
Public Comment Thomas S. Vales, Chief Executive Officer, TMC Bonds, L.L.C.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-MSRB-2012-04
Release Number
34-66625
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