MSRB Report Cards
These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
|Title and Description||Documentation|
|MSRB Markup/Markdown Analysis Report
The report is a monthly compliance tool that provides an analysis of the markup, markdown, and customer-to-customer pairs identified during the month. This report and supporting transaction details are designed to support firms' fair pricing and disclosure compliance procedures and reviews.
|MSRB G-32 Report Card
This report provides a summary of MSRB Rule G-32 documents, exempt filings, and cancellations submitted by your firm to EMMA for the months displayed.
|MSRB Underwriter Financial Status Report
The Underwriter Financial Status report is a monthly report that shows all outstanding issuances that have previously been brought to market by a firm. The report shows which of these outstanding issuances are lacking current financials (LCF) in order to help firms evaluate the timeliness of financial disclosures made to EMMA.
|MSRB Due Diligence Summary Report Card
The MSRB Due Diligence Report Card is a monthly report that shows total issuances brought to market by a firm. The report shows which of these issuances are Lacking Current Financials (LCF) in order to help firms evaluate the timeliness of financial disclosures made to EMMA.
|Municipal Continuing Disclosure Report
This report displays statistics about transactions your firm effected with customers and information about the availability of financial and event filings submitted to EMMA pursuant to SEC Rule 15c2-12 and MSRB Rule G-32.The report is designed to support a firm's supervision associated with MSRB rule G-47. Additional material information about transactions may exist that is not included in this report.
|Municipal Primary Offering Disclosure Report
This report displays statistics about transactions your firm effected with customers during the securities' Primary Offering Disclosure Period. This report is designed to aid firms in monitoring their compliance with Rule G-32(a) customer disclosure requirements, which apply to all broker-dealers selling offered municipal securities.
|Municipal Trades Below Minimum Denomination Report
This report, formerly named as the MSRB G-15(f) Trades Below Minimum Denomination Report, displays statistics about customer transactions your firm effected with customers with volumes below the minimum denomination reported to DTCC's New Issue Information Dissemination Service (NIIDS) or information available from Thomson Reuters. This report is designed to aid firms in monitoring their compliance with MSRB Rule G-15(f) (and proposed MSRB Rule G-49), which apply to all broker-dealers conducting municipal securities transactions with customers. The report was enhanced in January 2017 to include Thomson Reuters reference data in addition to DTCC’s NIIDS data. The report does not account for incorrect entries to the NIIDS system and firms should refer to the security's official statement for complete minimum denomination information