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MSRB Rulemaking Archive: 2010

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 2010

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-MSRB-2010-10
34-63621 Dec. 29, 2010 Order Granting Approval of Proposed Rule Change Consisting of Amendments to Rule A-13 to Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and to Institute a New Technology Fee on Reported Sales Transactions
See also:  Notice: Rel. No. 34-63095

SR-MSRB-2010-16
34-63599 Dec. 22, 2010 Order Granting Approval of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities
See also:  Notice: Rel. No. 34-63309

SR-MSRB-2010-17
34-63533 Dec. 13, 2010 Notice of Filing of Amendments to Rule A-3, on Membership on the Board
Comments due:  January 7, 2011
See also:  Order: Rel. No. 34-63764
Comments received are available for this notice.

SR-MSRB-2010-09
34-63340 Nov. 18, 2010 Order Granting Approval of Proposed Rule Change Consisting of Fee Changes to its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of its T+1 Transaction Price Service
See also:  Notice: Rel. No. 34-63089

SR-MSRB-2010-14
34-63313 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-12, on Initial Fee, and Rule A-14, on Annual Fee
Comments due:  December 9, 2010
Comments received are available for this notice.

SR-MSRB-2010-12
34-63310 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline and Selection Specifications for the Municipal Securities Representative Qualification Examination (Series 52) Program
Comments due:  December 9, 2010

SR-MSRB-2010-16
34-63309 Nov. 12, 2010 Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities
Comments due:  December 9, 2010
See also:  Order: Rel. No. 34-63599
Comments received are available for this notice.

SR-MSRB-2010-15
34-63308 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Rule D-13, on a Definition of "Municipal Advisory Activities", Rule D-14, on a Definition of "Appropriate Regulatory Agency", and Amendments to Rule D-11 ("Associated Persons"), Rule G-40 on Electronic Mail Contacts, and Form G-40, on Electronic Mail Contacts
Comments due:  December 8, 2010
Comments received are available for this notice.

SR-MSRB-2010-13
34-63307 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-7, on Assessments, and Rule A-8, on Rulemaking Procedures
Comments due:  December 8, 2010
Comments received are available for this notice.

SR-MSRB-2010-10
34-63095 Oct. 13, 2010 Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule A-13 to Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and to Institute a New Technology Fee on Reported Sales Transactions
Comments due:  November 9, 2010
See also:  Order: Rel. No. 34-63621
Comments received are available for this notice.

SR-MSRB-2010-09
34-63089 Oct. 13, 2010 Notice of Filing of Proposed Rule Change Consisting of Fee Changes to its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of its T+1 Transaction Price Service
Comments due:  November 8, 2010
See also:  Order: Rel. No. 34-63340

SR-MSRB-2010-11
34-63088 Oct. 13, 2010 Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board
Comments due:  November 8, 2010

SR-MSRB-2010-03
34-63086 Oct. 13, 2010 Order Approving Proposed Rule Change Relating to Amendments to the Continuing Disclosure Service of the MSRB's Electronic Municipal Market Access System (EMMA®)
See also:  Notice: Rel. No. 34-62175

SR-MSRB-2010-07
34-63073 Oct. 12, 2010 Order Granting Approval of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
See also:  Notice: Rel. No. 34-62830
Third Quarter

SR-MSRB-2010-08
34-63025 Sep. 30, 2010 Notice of Filing of Amendment No. 1 to and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule A-3, on Membership on the Board, to Comply with the Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments due:  October 27, 2010
Comments received are available for this notice.

SR-MSRB-2010-06
34-62993 Sep. 24, 2010 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish a Subscription to the Information Collected by the MSRB's Short-term Obligation Rate Transparency ("SHORT") System
See also:  Notice: Rel. No. 34-62734

SR-MSRB-2010-07
34-62830 Sep. 2, 2010 Notice of Filing of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
Comments due:  September 30, 2010
See also:  Order: Rel. No. 34-63073

SR-MSRB-2010-08
34-62827 Sep. 1, 2010 Notice of Filing of Amendments to Rule A-3, on Membership on the Board to Comply with the Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments due:  September 22, 2010
Comments received are available for this notice.
* Submit comments on SR-MSRB-2010-08

SR-MSRB-2010-02
34-62755 Aug. 20, 2010 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations
See also:  Notice: Rel. No. 34-61793; Notice: Rel. No. 34-62550

SR-MSRB-2010-05
34-62742 Aug. 19, 2010 Order Approving Proposed Rule Change Relating to the Continuing Disclosure Service of the MSRB Electronic Municipal Market Access (EMMA) System
See also:  Notice: Rel. No. 34-62489

SR-MSRB-2010-06
34-62734 Aug. 17, 2010 Notice of Filing of Proposed Rule Change to Establish a Subscription To the Information Collected by the MSRB's Short-term Obligation Rate Transparency ("SHORT") System
Comments due:  September 13, 2010
See also:  Order: Rel. No. 34-62993

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
See also:  Notice: Rel. No. 34-61110
Comments received are available for this notice.

SR-MSRB-2010-02
34-62550 Jul. 22, 2010 Notice of Filing of Amendment No. 1 to Proposed Rule Change to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations
Comments due:  August 18, 2010
Additional Materials:   Exhibit 4
See also:  Notice: Rel. No. 34-61793; Order: Rel. No. 34-62755
Comments received are available for this notice.

SR-MSRB-2010-05
34-62489 Jul. 13, 2010 Notice of Filing of Proposed Rule Change Relating to the Continuing Disclosure Service of the MSRB Electronic Municipal Market Access (EMMA) System
Comments due:  August 9, 2010
See also:  Order: Rel. No. 34-62742
Comments received are available for this notice.
Second Quarter

SR-MSRB-2010-04
34-62322 Jun. 17, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the MSRB Public Access Facility
Comments due:  July 15, 2010

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

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®)
See also:  Notice: Rel. No. 34-60314 and Notice: Rel. No. 34-61238

SR-MSRB-2010-03
34-62175 May 26, 2010 Notice of Filing of Proposed Rule Change Relating to Amendments to the Continuing Disclosure Service of the MSRB’s Electronic Municipal Market Access System (EMMA®)
Comments due:  July 23, 2010
See also:  Order: Rel. No. 34-63086
Comments received are available for this notice.
First Quarter

SR-MSRB-2010-02
34-61793 Mar. 26, 2010 Notice of Filing of Proposed Rule Change to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations
Comments due:  April 23, 2010
See also:  Notice: Rel. No. 34-62550; Order: Rel. No. 34-62755
Comments received are available for this notice.

SR-MSRB-2010-01
34-61647 Mar. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Revised Interpretive Questions & Answers on the Application of Rule G-37
Comments due:  April 1, 2010

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)
See also:  Notice: Rel. No. 34-61155


MSRB File Number List for 2010
Release No. Date Details

SR-MSRB-2010-18
34-63645 Jan. 5, 2011 Notice of Filing and Immediate Effectiveness of Revisions to the Selection Specifications for the Municipal Securities Representative Qualification Examination (Series 52) Program
Comments due:  February 2, 2011

SR-MSRB-2010-17
34-63764 Jan. 25, 2011 Order Granting Approval of Proposed Rule Change Consisting of Amendments to Rule A-3, on Membership on the Board
34-63533 Dec. 13, 2010 Notice of Filing of Amendments to Rule A-3, on Membership on the Board
Comments due:  January 7, 2011
Comments received are available for this notice.

SR-MSRB-2010-16
34-63599 Dec. 22, 2010 Order Granting Approval of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities
34-63309 Nov. 12, 2010 Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities
Comments due:  December 9, 2010
Comments received are available for this notice.

SR-MSRB-2010-15
34-63308 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Rule D-13, on a Definition of "Municipal Advisory Activities", Rule D-14, on a Definition of "Appropriate Regulatory Agency", and Amendments to Rule D-11 ("Associated Persons"), Rule G-40 on Electronic Mail Contacts, and Form G-40, on Electronic Mail Contacts
Comments due:  December 8, 2010
Comments received are available for this notice.

SR-MSRB-2010-14
34-63313 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-12, on Initial Fee, and Rule A-14, on Annual Fee
Comments due:  December 9, 2010
Comments received are available for this notice.

SR-MSRB-2010-13
34-63307 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Amendments to Rule A-7, on Assessments, and Rule A-8, on Rulemaking Procedures
Comments due:  December 8, 2010
Comments received are available for this notice.>

SR-MSRB-2010-12
34-63310 Nov. 12, 2010 Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline and Selection Specifications for the Municipal Securities Representative Qualification Examination (Series 52) Program
Comments due:  December 9, 2010

SR-MSRB-2010-11
34-63088 Oct. 13, 2010 Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board
Comments due:  November 8, 2010

SR-MSRB-2010-10
34-63621 Dec. 29, 2010 Order Granting Approval of Proposed Rule Change Consisting of Amendments to Rule A-13 to Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and to Institute a New Technology Fee on Reported Sales Transactions
34-63095 Oct. 13, 2010 Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule A-13 to Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and to Institute a New Technology Fee on Reported Sales Transactions
Comments due:  November 9, 2010
Comments received are available for this notice.

SR-MSRB-2010-09
34-63340 Nov. 18, 2010 Order Granting Approval of Proposed Rule Change Consisting of Fee Changes to its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of its T+1 Transaction Price Service
34-63089 Oct. 13, 2010 Notice of Filing of Proposed Rule Change Consisting of Fee Changes to its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of its T+1 Transaction Price Service
Comments due:  November 8, 2010

SR-MSRB-2010-08
34-63025 Sep. 30, 2010 Notice of Filing of Amendment No. 1 to and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule A-3, on Membership on the Board, to Comply with the Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments due:  October 27, 2010
Comments received are available for this notice.
34-62827 Sep. 1, 2010 Notice of Filing of Amendments to Rule A-3, on Membership on the Board to Comply with the Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments due:  September 22, 2010
Comments received are available for this notice.

SR-MSRB-2010-07
34-63073 Oct. 12, 2010 Order Granting Approval of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
34-62830 Sep. 2, 2010 Notice of Filing of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
Comments due:  September 30, 2010

SR-MSRB-2010-06
34-62993 Sep. 24, 2010 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish a Subscription to the Information Collected by the MSRB's Short-term Obligation Rate Transparency ("SHORT") System
34-62734 Aug. 17, 2010 Notice of Filing of Proposed Rule Change to Establish a Subscription To the Information Collected by the MSRB's Short-term Obligation Rate Transparency ("SHORT") System
Comments due:  September 13, 2010

SR-MSRB-2010-05
34-62742 Aug. 19, 2010 Order Approving Proposed Rule Change Relating to the Continuing Disclosure Service of the MSRB Electronic Municipal Market Access (EMMA) System
34-62489 Jul. 13, 2010 Notice of Filing of Proposed Rule Change Relating to the Continuing Disclosure Service of the MSRB Electronic Municipal Market Access (EMMA) System
Comments due:  August 9, 2010
Comments received are available for this notice.

SR-MSRB-2010-04
34-62322 Jun. 17, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the MSRB Public Access Facility
Comments due:  July 15, 2010

SR-MSRB-2010-03
34-63086 Oct. 13, 2010 Order Approving Proposed Rule Change Relating to Amendments to the Continuing Disclosure Service of the MSRB's Electronic Municipal Market Access System (EMMA®)
34-62175 May 26, 2010 Notice of Filing of Proposed Rule Change Relating to Amendments to the Continuing Disclosure Service of the MSRB’s Electronic Municipal Market Access System (EMMA®)
Comments due:  July 23, 2010
Comments received are available for this notice.

SR-MSRB-2010-02
34-62755 Aug. 20, 2010 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations
34-62550 Jul. 22, 2010 Notice of Filing of Amendment No. 1 to Proposed Rule Change to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations
Comments due:  August 18, 2010
Additional Materials:   Exhibit 4
Comments received are available for this notice.
34-61793 Mar. 26, 2010 Notice of Filing of Proposed Rule Change to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations
Comments due:  April 23, 2010
Comments received are available for this notice.

SR-MSRB-2010-01
34-61647 Mar. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Revised Interpretive Questions & Answers on the Application of Rule G-37
Comments due:  April 1, 2010

 

http://www.sec.gov/rules/sro/msrb/msrbarchive/msrbarchive2010.shtml


Modified: 05/15/2012