Comments on MSRB Rulemaking

Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

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Date Received
Date Letter Type Commenter Name
Public Comment Mike Nicholas, CEO, Bond Dealers of America; Susan Gaffney, Executive Director, National Association of Municipal Advisors; and Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA
Public Comment Pamela K. Ellis, Associate General Counsel, Municipal Securities Rulemaking Board
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding an April 10, 2018, meeting with representatives of the Bond Dealers of America
Public Comment Leo Kapwejna, Chief Compliance Officer; Cheryl Maddox, General Counsel; and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer; Public Financial Management, Inc. and PFM Financial Advisors LLC
Public Comment Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA
Public Comment Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Public Comment Susan Gaffney, Executive Director, National Association of Municipal Advisors

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-MSRB-2018-01
Release Number
34-82616
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