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MSRB Temporarily Reduces Certain Market Activity Fees

The MSRB temporarily reduced the assessment rates by 40 percent for certain fees under MSRB Rule A-13(h) (Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers). The reduction of fees will be in effect from April 1, 2021 through September 30, 2022, after which the assessment rates will revert to current levels.

Primary Sources

  1. MSRB Notice 2021-05: MSRB Temporarily Reduces Market Activity Fees by 40 Percent
  2. SR-MSRB-2021-02: Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13

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Tags

Regulated Activities
Regulatory Fees
Regulated Entities
Broker-Dealers
Regulated Products
Municipal Securities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
MSRB