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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
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| 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.
|
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
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