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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.

Chronological List
Fourth Quarter | Third Quarter |  Second Quarter |  First Quarter

MSRB File Number List

Additional Archives


Chronological List
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


MSRB File Number List
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


Modified: 03/21/2013