Proposed New MSRB Fee for Dealers Underwriting 529 Plans

Summary

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Municipal Securities Rulemaking Board’s (MSRB) rule filing SR-MSRB-2017-05, which amends MSRB Rule A-13, on underwriting and transaction assessments for brokers, dealers and municipal securities dealers, to assess a new annual fee on dealers acting as underwriters to 529 college savings plans.

Also, see:

MSRB Rule A-13
MSRB’s filing with the SEC with respect to the new fee

Submitted To

SEC

Submitted By

SIFMA

Date

August

2017

Letters

Proposed New MSRB Fee for Dealers Underwriting 529 Plans

Summary

Submitted To

SEC

Submitted By

SIFMA

Date

File #

SR-MSRB-2017-05; Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offering Plans

More Submissions

Type:

Data Security (Joint Trades)

Type:

Cboe Exchange v. SEC

Type:

Recommendations on Reforms to the Consolidated Audit Trail