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MSRB Rulemaking Archive: 2009

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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

MSRB File Number List for 2009

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-MSRB-2009-09
34-61238 Dec. 23, 2009 Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Rule G-32, on Disclosures in Connection with Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB’s Electronic Municipal Market Access System (EMMA®)
Comments due:  January 26, 2010
Additional Materials:   Exhibit 4
See also:   Notice: Rel. No. 34-60314

SR-MSRB-2009-10
34-61237 Dec. 23, 2009 Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Additional Voluntary Submissions by Issuers to the MSRB’s Electronic Municipal Market Access System (EMMA®)
Comments due:  January 26, 2010
Additional Materials:   Exhibit 4
See also:   Notice: Rel. No. 34-60315
Comments received are available for this notice.

SR-MSRB-2009-18
34-61155 Dec. 11, 2009 Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business) and Rule G-8 (Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers)
Comments due:  January 8, 2010
Comments received are available for this notice.
See also:   Order: Rel. No. 34-61381

SR-MSRB-2009-17
34-61110 Dec. 3, 2009 Notice of Filing of Proposed Rule Change Consisting of (i) Amendments to Rule G-8 (Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (New Issue Syndicate Practices); (ii) a Proposed Interpretation of Rule G-17 (Conduct of Municipal Securities Activities); and (iii) the Deletion of a Previous Rule G-17 Interpretive Notice
Comments due:  December 31, 2009
See also:   Notice/Order: Rel. No. 34-62715
Comments received are available for this notice.

SR-MSRB-2009-16
34-61023 Nov. 18, 2009 Notice of Filing and Immediate Effectiveness of New Rule A-16, on Examination Fees
Comments due:  December 15, 2009

SR-MSRB-2009-15
34-60783 Oct. 2, 2009 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-13, on Underwriting Assessments and Rule G-32, on Disclosures in Connection with Primary Offerings
Comments due:  October 30, 2009
Third Quarter

SR-MSRB-2009-12
34-60725 Sep. 28, 2009 Order Approving Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account)
See also:   Notice: Rel. No. 34-60487

SR-MSRB-2009-14
34-60690 Sep. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of An Interpretive Notice Regarding MSRB Rule G-15(a), on Customer Confirmations
Comments due:  October 16, 2009

SR-MSRB-2009-13
34-60528 Aug. 18, 2009 Notice of Filing and Immediate Effectiveness of Amendment to Rule A-14, on Annual Fee
Comments due:  September 16, 2009

SR-MSRB-2009-12
34-60487 Aug. 12, 2009 Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account)
Comments due:  September 8, 2009
See also:   Order: Rel. No. 34-60725
Comments received are available for this notice.

SR-MSRB-2009-11
34-60408 Jul. 30, 2009 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-3, on Membership on the Board, Rule A-4, on Meetings of the Board, Rule A-5, on Officers and Employees of the Board, and Rule A-6, on Committees of the Board
Comments due:  August 27, 2009

SR-MSRB-2009-08
34-60359 Jul. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities
Comments due:  August 17, 2009 br>Comments received are available for this notice.

SR-MSRB-2009-10
34-60315 Jul. 15, 2009 Notice of Filing of Proposed Rule Change Relating to Additional Voluntary Submissions by Issuers to the MSRB's Electronic Municipal Market Access System (EMMA®)
Comments due:  August 12, 2009
See also:   Notice: Rel. No. 34-61237
Comments received are available for this notice.

SR-MSRB-2009-09
34-60314 Jul. 15, 2009 Notice of Filing of Proposed Rule Change Relating to Rule G-32, on Disclosures in Connection with Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB's Electronic Municipal Market Access System (EMMA®)
Comments due:  August 12, 2009
See also:   Notice: Rel. No. 34-61238
Comments received are available for this notice.
Second Quarter

SR-MSRB-2009-05
34-60121 Jun. 16, 2009 Order Granting Approval of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA®)
See also:   Notice: Rel. No. 34-59881

SR-MSRB-2009-07
34-60053 Jun. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of the CDINet System
Comments due:  July 6, 2009

SR-MSRB-2009-04
34-60033 Jun. 3, 2009 Order Granting Approval of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)
See also:   Notice: Rel. No. 34-59814

SR-MSRB-2009-02
34-59966 May 21, 2009 Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA®) and Amendments to MSRB Rules G-32 and G-36
See also:   Notice: Rel. No. 34-59636

SR-MSRB-2009-03
34-59964 May 21, 2009 Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)
See also:   Notice: Rel. No. 34-59643

SR-MSRB-2009-05
34-59881 May 7, 2009 Notice of Filing of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA®)
Comments due:  June 3, 2009
See also:   Notice: Rel. No. 34-60121

SR-MSRB-2009-06
34-59873 May 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to MSRB Rule G-8 Requiring Brokers, Dealers and Municipal Securities Dealers to Maintain Certain Records Relating to Auction Rate Securities and Variable Rate Demand Obligations
Comments due:  June 4, 2009

SR-MSRB-2009-04
34-59814 Apr. 23, 2009 Notice of Filing of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access system (EMMA®)
Comments due:  May 20, 2009
See also:   Order: Rel. No. 34-60033
Comments received are available for this notice.
First Quarter

SR-MSRB-2009-03
34-59643 Mar. 27, 2009 Notice of Filing of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access system (EMMA®)
Comments due:  April 27, 2009
See also:   Order: Rel. No. 34-59964
Comments received are available for this notice.

SR-MSRB-2009-02
34-59636 Mar. 27, 2009 Notice of Filing of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access system (EMMA®) and Amendments to MSRB Rules G-32 and G-36
Comments due:  May 5, 2009
See also:   Order: Rel. No. 34-59966
Comments received are available for this notice.

SR-MSRB-2009-01
34-59602 Mar. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Electronic Municipal Market Access System Pilot
Comments due:  April 16, 2009
Comments received are available for this notice.

SR-MSRB-2008-07
34-59212 Jan. 7, 2009 Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Establish a Transparency System for Municipal Auction Rate Securities and Municipal Variable Rate Demand Obligations
See also:   Notice: Rel. No. 34-58998


MSRB File Number List for 2009
Release No. Date Details

SR-MSRB-2009-18
34-61381 Jan. 20, 2010 Order Approving Proposed Rule Change Consisting of Amendments to Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business) and Rule G-8 (Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers)
34-61155 Dec. 11, 2009 Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business) and Rule G-8 (Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers)
Comments due:  January 8, 2010
Comments received are available for this notice.

SR-MSRB-2009-17
34-62715 Aug. 13, 2010 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of (i) Amendments to Rule G-8 (Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (New Issue Syndicate Practices); (ii) a Proposed Interpretation of Rule G-17 (Conduct of Municipal Securities Activities); and (iii) the Deletion of a Previous Rule G-17 Interpretive Notice
Comments due:  September 8, 2010
Comments received are available for this notice.
34-61110 Dec. 3, 2009 Notice of Filing of Proposed Rule Change Consisting of (i) Amendments to Rule G-8 (Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (New Issue Syndicate Practices); (ii) a Proposed Interpretation of Rule G-17 (Conduct of Municipal Securities Activities); and (iii) the Deletion of a Previous Rule G-17 Interpretive Notice
Comments due:  December 31, 2009
Comments received are available for this notice.

SR-MSRB-2009-16
34-61023 Nov. 18, 2009 Notice of Filing and Immediate Effectiveness of New Rule A-16, on Examination Fees
Comments due:  December 15, 2009

SR-MSRB-2009-15
34-60783 Oct. 2, 2009 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-13, on Underwriting Assessments and Rule G-32, on Disclosures in Connection with Primary Offerings
Comments due:  October 30, 2009

SR-MSRB-2009-14
34-60690 Sep. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of An Interpretive Notice Regarding MSRB Rule G-15(a), on Customer Confirmations
Comments due:  October 16, 2009

SR-MSRB-2009-13
34-60528 Aug. 18, 2009 Notice of Filing and Immediate Effectiveness of Amendment to Rule A-14, on Annual Fee
Comments due:  September 16, 2009

SR-MSRB-2009-12
34-60725 Sep. 28, 2009 Order Approving Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account)
34-60487 Aug. 12, 2009 Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account)
Comments due:  September 8, 2009
Comments received are available for this notice.

SR-MSRB-2009-11
34-60408 Jul. 30, 2009 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-3, on Membership on the Board, Rule A-4, on Meetings of the Board, Rule A-5, on Officers and Employees of the Board, and Rule A-6, on Committees of the Board
Comments due:  August 27, 2009

SR-MSRB-2009-10
34-62183 May 26, 2010 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Additional Voluntary Submissions by Issuers to the MSRB’s Electronic Municipal Market Access System (EMMA®)
Comments due:  June 23, 2010
34-61237 Dec. 23, 2009 Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Additional Voluntary Submissions by Issuers to the MSRB’s Electronic Municipal Market Access System (EMMA®)
Comments due:  January 26, 2010
Additional Materials:   Exhibit 4
Comments received are available for this notice.
34-60315 Jul. 15, 2009 Notice of Filing of Proposed Rule Change Relating to Additional Voluntary Submissions by Issuers to the MSRB's Electronic Municipal Market Access System (EMMA®)
Comments due:  August 12, 2009
Comments received are available for this notice.

SR-MSRB-2009-09
34-62182 May 26, 2010 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Rule G-32, on Disclosures in Connection with Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB’s Electronic Municipal Market Access System (EMMA®)
34-61238 Dec. 23, 2009 Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Rule G-32, on Disclosures in Connection with Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB’s Electronic Municipal Market Access System (EMMA®)
Comments due:  January 26, 2010
Additional Materials:   Exhibit 4
34-60314 Jul. 15, 2009 Notice of Filing of Proposed Rule Change Relating to Rule G-32, on Disclosures in Connection with Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB's Electronic Municipal Market Access System (EMMA®)
Comments due:  August 12, 2009
Comments received are available for this notice.

SR-MSRB-2009-08
34-60359 Jul. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities
Comments due:  August 17, 2009
Comments received are available for this notice.

SR-MSRB-2009-07
34-60053 Jun. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of the CDINet System
Comments due:  July 6, 2009

SR-MSRB-2009-06
34-59873 May 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to MSRB Rule G-8 Requiring Brokers, Dealers and Municipal Securities Dealers to Maintain Certain Records Relating to Auction Rate Securities and Variable Rate Demand Obligations
Comments due:  June 4, 2009

SR-MSRB-2009-05
34-60121 Jun. 16, 2009 Order Granting Approval of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA®)
34-59881 May 7, 2009 Notice of Filing of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA®)
Comments due:  June 3, 2009

SR-MSRB-2009-04
34-60033 Jun. 3, 2009 Order Granting Approval of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)
34-59814 Apr. 23, 2009 Notice of Filing of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access system (EMMA®)
Comments due:  May 20, 2009
Comments received are available for this notice.

SR-MSRB-2009-03
34-59964 May 21, 2009 Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)
34-59643 Mar. 27, 2009 Notice of Filing of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access system (EMMA®)
Comments due:  April 27, 2009
Comments received are available for this notice.

SR-MSRB-2009-02
34-59966 May 21, 2009 Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA®) and Amendments to MSRB Rules G-32 and G-36
34-59966 May 21, 2009 Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA®) and Amendments to MSRB Rules G-32 and G-36
34-59636 Mar. 27, 2009 Notice of Filing of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access system (EMMA®) and Amendments to MSRB Rules G-32 and G-36
Comments due:  May 5, 2009
Comments received are available for this notice.

SR-MSRB-2009-01
34-59602 Mar. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Electronic Municipal Market Access System Pilot
Comments due:  April 16, 2009
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/msrb/msrbarchive/msrbarchive2009.shtml


Modified: 10/16/2014