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MSRB Rulemaking: 2011
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.
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-MSRB-2011-19 |
|
34-65992 |
Dec. 16, 2011 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No.1 Thereto, Consisting of Amendments to Rule G-16, on Periodic Compliance Examination, and Rule G-9, on Preservation of Records
Comments due: January 12, 2012
See also:
Notice: Rel. No. 34-65631
Comments received
are available
for this proposal.
|
SR-MSRB-2011-09 |
|
34-65918 |
Dec. 8, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
Comments due: January 30, 2012
Rebuttal comments due: February 13, 2012
See also: Notices: Rel. Nos.
34-65749
and
34-65263,
and
Order: Rel. No. 34-66927
Comments received
are available
for this proposal.
|
SR-MSRB-2011-09 |
|
34-65749 |
Nov. 15, 2011 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities
Comments due: December 1, 2011
See also:
Notice: Rel. No. 34-65263
and Orders:
Rel. No. 34-66927
and
Rel. No. 34-66918
Comments received
are available
for this proposal.
|
SR-MSRB-2011-17 |
|
34-65679 |
Nov. 4, 2011 |
Order Granting Approval of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons
See also:
Notice: Rel. No. 34-65393
|
SR-MSRB-2011-19 |
|
34-65631 |
Oct. 26, 2011 |
Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-16 on Periodic Compliance Examination and Rule G-9 on Preservation of Records
Comments due: November 22, 2011
See also:
Notice/Order: Rel. No. 34-65992
Comments received
are available
for this proposal.
|
SR-MSRB-2011-18 |
|
34-65495 |
Oct. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board
Comments due: November 3, 2011
|
| Third Quarter |
SR-MSRB-2011-11 |
|
34-65424 |
Sep. 28, 2011 |
Order Granting Approval of Amendments to Rule A-3, on Membership on the Board
See also:
Notice: Rel. No. 34-65158
|
SR-MSRB-2011-17 |
|
34-65393 |
Sep. 27, 2011 |
Notice of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons
Comments due: October 21, 2011
Comments received
are available
for this notice.
|
SR-MSRB-2011-15 |
|
34-65398 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors
See also:
Notice: Rel. No. 34-65292
|
SR-MSRB-2011-14 |
|
34-65397 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors
See also:
Notice: Rel. No. 34-65282
Comments received
are available
for this notice.
|
SR-MSRB-2011-12 |
|
34-65395 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice
See also:
Notice: Rel. No. 34-65255
|
SR-MSRB-2011-10 |
|
34-65394 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed Rule Change Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and to Clarify that Certain
Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers would be Applicable to Municipal Advisors
See also:
Notice: Rel. No. 34-65234
|
SR-MSRB-2011-08 |
|
34-65396 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim
See also:
Notice: Rel. No. 34-65015
|
SR-MSRB-2011-16 |
|
34-65346 |
Sep. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Rule Change to Extend the Effective Date of the Amendment to the Continuing Disclosure Service of EMMA to Provide for the Posting of Credit Rating and Related Information on the EMMA Public Website
Comments due: October 13, 2011
|
SR-MSRB-2011-15 |
|
34-65292 |
Sep. 8, 2011 |
Notice of Filing of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors
See also:
Notice: Rel. No. 34-65398
|
SR-MSRB-2011-14 |
|
34-65282 |
Sep. 7, 2011 |
Notice of Filing of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors
Comments received
are available
for this notice.
|
SR-MSRB-2011-09 |
|
34-65263 |
Sep. 6, 2011 |
Notice of Filing of Proposed Rule Change Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities
Comments due: September 30, 2011
See also:
Notice: Rel. No. 34-65749
and Orders:
Rel. No. 34-66927
and
Rel. No. 34-66918
Comments received
are available
for this proposal.
|
SR-MSRB-2011-12 |
|
34-65255 |
Sep. 2, 2011 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice
|
SR-MSRB-2011-10 |
|
34-65234 |
Aug. 31, 2011 |
Notice of Filing of a Proposed Rule Change by the Municipal Securities Rulemaking Board Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and to Clarify That Certain Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers Would Be Applicable to Municipal Advisors
Comments received
are available
for this notice.
|
SR-MSRB-2011-11 |
|
34-65158 |
Aug. 18, 2011 |
Notice of Filing of Amendments to Rule A-3, on Membership on the Board
Comments due: September 13, 2011
Comments received
are available
for this notice.
|
SR-MSRB-2011-08 |
|
34-65015 |
Aug. 2, 2011 |
Notice of Filing of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim
Comments due: August 29, 2011
Comments received
are available
for this notice.
|
SR-MSRB-2011-07 |
|
34-64804 |
Jul. 5, 2011 |
Notice of Filing of a Proposed Rule Change Consisting of Revisions to the Study Outline for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51)
Comments due: August 1, 2011
|
| Second Quarter |
SR-MSRB-2011-03 |
|
34-64564 |
May 27, 2011 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule G-23, on Activities of Financial Advisors
Comments due: June 24, 2011
See also:
Notice: Rel. No. 34-63946
Comments received
are available
for this notice.
|
SR-MSRB-2011-06 |
|
34-64455 |
May 10, 2011 |
Notice of Filing and Immediate Effectiveness of Rule Change Consisting of Fee Changes to its Historical Transaction Data Reports
Comments due: June 6, 2011
|
SR-MSRB-2011-04 |
|
34-64201 |
Apr. 6, 2011 |
Order Approving Proposed Rule Change to Amend the MSRB Short-term Obligation Rate Transparency (SHORT) Subscription Service
See also:
Notice: Rel. No. 34-63950
|
| First Quarter |
SR-MSRB-2011-02 |
|
34-64022 |
Mar. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Rule Change Consisting of Amendments to MSRB Rule A-3, on Membership on the Board
Comments due: March 30, 2011
|
SR-MSRB-2011-01 |
|
34-64006 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board
Comments due: March 29, 2011
|
SR-MSRB-2011-05 |
|
34-63962 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Amendments to Rule A-15, on Notification to Board of Termination of Municipal Securities Activities and Change of Name or Address
Comments due: March 23, 2011
|
SR-MSRB-2011-04 |
|
34-63950 |
Feb. 23, 2011 |
Notice of Filing of Proposed Rule Change to Amend the MSRB Short-term Obligation Rate Transparency ("SHORT") Subscription Service
Comments due: March 23, 2011
See also:
Order: Rel. No. 34-64201
|
SR-MSRB-2011-03 |
|
34-63946 |
Feb. 22, 2011 |
Notice of Filing of Amendments to Rule G-23, on Activities of Financial Advisors
Comments due: March 21, 2011
See also:
Notice/Order: Rel. No. 34-64564
Comments received
are available
for this notice.
|
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
See also:
Notice: Rel. No. 34-63533
|
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
|
| Release No. |
Date |
Details |
SR-MSRB-2011-19 |
|
34-65992 |
Dec. 16, 2011 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No.1 Thereto, Consisting of Amendments to Rule G-16, on Periodic Compliance Examination, and Rule G-9, on Preservation of Records
Comments due: January 12, 2012
Comments received
are available
for this proposal.
|
|
34-65631 |
Oct. 26, 2011 |
Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-16 on Periodic Compliance Examination and Rule G-9 on Preservation of Records
Comments due: November 22, 2011
Comments received
are available
for this notice.
|
SR-MSRB-2011-18 |
|
34-65495 |
Oct. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board
Comments due: November 3, 2011
|
SR-MSRB-2011-17 |
|
34-65679 |
Nov. 4, 2011 |
Order Granting Approval of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons
See also:
Notice: Rel. No. 34-65393
|
|
34-65393 |
Sep. 27, 2011 |
Notice of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons
Comments due: October 21, 2011
Comments received
are available
for this notice.
|
SR-MSRB-2011-16 |
|
34-65346 |
Sep. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Rule Change to Extend the Effective Date of the Amendment to the Continuing Disclosure Service of EMMA to Provide for the Posting of Credit Rating and Related Information on the EMMA Public Website
Comments due: October 13, 2011
|
SR-MSRB-2011-15 |
|
34-65398 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors
See also:
Notice: Rel. No. 34-65292
|
|
34-65292 |
Sep. 8, 2011 |
Notice of Filing of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors
See also:
Notice: Rel. No. 34-65398
|
SR-MSRB-2011-14 |
|
34-65397 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors
See also:
Notice: Rel. No. 34-65282
Comments received
are available
for this notice.
|
|
34-65282 |
Sep. 7, 2011 |
Notice of Filing of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors
See also:
Notice: Rel. No. 34-65397
|
SR-MSRB-2011-12 |
|
34-65395 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice
See also:
Notice: Rel. No. 34-65255
|
|
34-65255 |
Sep. 2, 2011 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice
See also:
Notice: Rel. No. 34-65395
|
SR-MSRB-2011-11 |
|
34-65424 |
Sep. 28, 2011 |
Order Granting Approval of Amendments to Rule A-3, on Membership on the Board
See also:
Notice: Rel. No. 34-65158
|
|
34-65158 |
Aug. 18, 2011 |
Notice of Filing of Amendments to Rule A-3, on Membership on the Board
Comments due: September 13, 2011
Comments received
are available
for this notice.
|
SR-MSRB-2011-10 |
|
34-65394 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed Rule Change Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and to Clarify that Certain
Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers would be Applicable to Municipal Advisors
|
|
34-65234 |
Aug. 31, 2011 |
Notice of Filing of a Proposed Rule Change by the Municipal Securities Rulemaking Board Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and to Clarify That Certain Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers Would Be Applicable to Municipal Advisors
|
SR-MSRB-2011-09 |
|
34-66927 |
May 4, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
|
|
34-65918 |
Dec. 8, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
Comments due: January 30, 2012
Rebuttal comments due: February 13, 2012
Comments received
are available
for this proposal.
|
|
34-65749 |
Nov. 15, 2011 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities
Comments due: December 1, 2011
Comments received
are available
for this proposal.
|
|
34-65263 |
Sep. 6, 2011 |
Notice of Filing of Proposed Rule Change Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities
Comments due: September 30, 2011
Comments received
are available
for this proposal.
|
SR-MSRB-2011-08 |
|
34-65396 |
Sep. 26, 2011 |
Notice of Withdrawal of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim
See also:
Notice: Rel. No. 34-65015
|
|
34-65015 |
Aug. 2, 2011 |
Notice of Filing of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim
See also:
Notice: Rel. No. 34-65396
|
SR-MSRB-2011-07 |
|
34-64804 |
Jul. 5, 2011 |
Notice of Filing of a Proposed Rule Change Consisting of Revisions to the Study Outline for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51)
Comments due: August 1, 2011
|
SR-MSRB-2011-06 |
|
34-64455 |
May 10, 2011 |
Notice of Filing and Immediate Effectiveness of Rule Change Consisting of Fee Changes to its Historical Transaction Data Reports
Comments due: June 6, 2011
|
SR-MSRB-2011-05 |
|
34-63962 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Amendments to Rule A-15, on Notification to Board of Termination of Municipal Securities Activities and Change of Name or Address
Comments due: March 23, 2011
|
SR-MSRB-2011-04 |
|
34-64201 |
Apr. 6, 2011 |
Order Approving Proposed Rule Change to Amend the MSRB Short-term Obligation Rate Transparency (SHORT) Subscription Service
|
|
34-63950 |
Feb. 23, 2011 |
Notice of Filing of Proposed Rule Change to Amend the MSRB Short-term Obligation Rate Transparency ("SHORT") Subscription Service
Comments due: March 23, 2011
|
SR-MSRB-2011-03 |
|
34-64564 |
May 27, 2011 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule G-23, on Activities of Financial Advisors
Comments due: June 24, 2011
Comments received
are available
for this notice.
|
|
34-63946 |
Feb. 22, 2011 |
Notice of Filing of Amendments to Rule G-23, on Activities of Financial Advisors
Comments due: March 21, 2011
Comments received
are available
for this notice.
|
SR-MSRB-2011-02 |
|
34-64022 |
Mar. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Rule Change Consisting of Amendments to MSRB Rule A-3, on Membership on the Board
Comments due: March 30, 2011
|
SR-MSRB-2011-01 |
|
34-64006 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board
Comments due: March 29, 2011
|
http://www.sec.gov/rules/sro/msrb/msrbarchive/msrbarchive2011.shtml
|
