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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
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| 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
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