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Comments Due on MSRB Rule G-23 on Activities of Dealers Acting as Financial Advisors

August 19, 2019

The Municipal Securities Rulemaking Board (MSRB) is seeking comments on MSRB Rule G-23, on activities of financial advisors, in connection with its ongoing retrospective review of MSRB rules and guidance.   This request for comment is intended to elicit input on whether Rule G-23’s requirements on brokers, dealers and municipal securities dealers (together, “dealers”) acting in a financial advisor capacity to issuers with respect to the issuance of municipal securities, and related MSRB interpretive guidance, continue to achieve the rule’s intended purpose and reflect current practices in the municipal securities market. The MSRB invites all interested parties to submit comments in response to this request, along with any other information they believe would be useful.

Comments should be submitted no later than August 19, 2019 and may be submitted in electronic or paper form. Comments may be submitted electronically by clicking here. Comments submitted in paper form should be sent to Ronald W. Smith, Corporate Secretary, Municipal Securities Rulemaking Board, 1300 I Street NW, Washington, DC 20005. All comments will be available for public inspection on the MSRB’s website.


August 19, 2019
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