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

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a November 1, 2016, meeting with representatives of SIFMA
Public Comment Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Washington, District of Columbia
Public Comment Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Washington, District of Columbia
Meeting with SEC Officials Memorandum regarding the Recommendation of the Investor Advocate
Public Comment Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Public Comment Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Public Comment Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC
Public Comment Paige W. Pierce, President & CEO, RW Smith & Associates, LLC
Public Comment Robert J. McCarthy, Director, Regulatory Policy, Wells Fargo Advisors, LLC
Public Comment Leslie M. Norwood, Managing Director and Associate General Counsel, and Sean Davy, Managing Director, Capital Markets Division, SIFMA, New York, New York
Public Comment Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-MSRB-2016-12
Release Number
34-78777
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