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MSRB Rulemaking

We encourage the public to submit comments on the following Municipal Securities Rulemaking Board (MSRB) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Third Quarter |  Second Quarter |  First Quarter

MSRB File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-MSRB-2014-04
34-72743 Aug. 1, 2014 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
See also: Notice: Rel. No. 34-72425

SR-MSRB-2014-06
34-72706 Jul. 29, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2014-05
34-72705 Jul. 29, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
Second Quarter

SR-MSRB-2014-04
34-72425 Jun. 18, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
Comments due: July 15, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-72743

SR-MSRB-2014-01
34-72129 May 8, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: June 4, 2014
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-71536

SR-MSRB-2014-03
34-72019 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals
Comments due: May 22, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
First Quarter

SR-MSRB-2014-02
34-71690 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-time Transaction Reporting System, and Short-Term Obligation Rate Transparency System
Comments due: April 7, 2014
Additional Materials:  Exhibit 5

SR-MSRB-2013-07
34-71665 Mar. 7, 2014 Order Granting Approval of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals , and the Proposed Deletion of Interpretive Guidance
See also:  Notice: Rel. No. 34-71326, Notice: Rel. No. 34-70593

SR-MSRB-2013-09
34-71616 Feb. 26, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination ("RTRS Facility"); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements under G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40, and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12
See also:  Notice: Rel. No. 34-71255

SR-MSRB-2013-04
34-71598 Feb. 21, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: March 20, 2014
Additional Materials:  Exhibit 4, Exhibit 5
See also:  Notice: Rel. No. 34-71144, Order: Rel. No. 34-70531, Notice: Rel. No. 34-69835

SR-MSRB-2014-01
34-71536 Feb. 12, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: March 12, 2014
Additional Materials:  Exhibit 2, Exhibit 5
See also:  Order: Rel. No. 34-72129
Comments received are available for this proposal.

SR-MSRB-2013-07
34-71326 Jan. 16, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals ("SMMPs"), and the Proposed Deletion of Interpretive Guidance
See also:  Notice: Rel. No. 34-70593; Order: Rel. No. 34-71665
Comments due: February 13, 2014
Rebuttal comments due: March 6, 2014
Comments received are available for this proposal.

SR-MSRB-2013-09
34-71255 Jan. 8, 2014 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 thereto, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination ("RTRS Facility"); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements under Rules G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40; and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12
Comments due: February 4, 2014
Additional Materials:  Exhibit 2, Exhibit 3, Exhibit 5
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-71616


MSRB File Number List for 2014
Release No. Date Details

SR-MSRB-2014-06
34-72706 Jul. 29, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2014-05
34-72705 Jul. 29, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2014-04
34-72743 Aug. 1, 2014 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
34-72425 Jun. 18, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
Comments due: July 15, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2014-03
34-72019 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals
Comments due: May 22, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2014-02
34-71690 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-time Transaction Reporting System, and Short-Term Obligation Rate Transparency System
Comments due: April 7, 2014
Additional Materials:  Exhibit 5

SR-MSRB-2014-01
34-72129 May 8, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: June 4, 2014
Additional Materials: Exhibit 4, Exhibit 5
34-71536 Feb. 12, 2014 Notice of Filing of a Proposed Rule Change Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: March 12, 2014
Additional Materials:  Exhibit 2, Exhibit 5
Comments received are available for this proposal.

 

http://www.sec.gov/rules/sro/msrb.shtml


Modified: 08/20/2014