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Comments on MSRB Rulemaking
Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
[Release No. 34-78777; File No. SR-MSRB-2016-12]
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(Click here for meetings with SEC officials)
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| Nov. 14, 2016 | Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Washington, District of Columbia |
| Nov. 14, 2016 | Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Washington, District of Columbia |
| Nov. 7, 2016 | Memorandum regarding the Recommendation of the Investor Advocate |
| Oct. 4, 2016 | Paige W. Pierce, President & CEO, RW Smith & Associates, LLC |
| Oct. 4, 2016 | Robert J. McCarthy, Director, Regulatory Policy, Wells Fargo Advisors, LLC |
| Oct. 4, 2016 | Mary Lou Von Kaenel, Managing Director, Financial Information Forum |
| Oct. 4, 2016 | Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC |
| Oct. 4, 2016 | Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia |
| Oct. 3, 2016 | Leslie M. Norwood, Managing Director and Associate General Counsel, and Sean Davy, Managing Director, Capital Markets Division, SIFMA, New York, New York |
| Sep. 19, 2016 | Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Nov. 14, 2016 | Memorandum from the Office of Municipal Securities regarding a November 1, 2016, meeting with representatives of SIFMA |
http://www.sec.gov/comments/sr-msrb-2016-12/msrb201612.shtml
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