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MSRB Rulemaking: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-MSRB-2013-04
34-71144 Dec. 19, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
See also: Notice: Rel. No. 34-71598, Order: Rel. No. 34-70531, Notice: Rel. No. 34-69835

SR-MSRB-2013-08
34-70990 Dec. 5, 2013 Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document
See also: Notice: Rel. No. 34-70607

SR-MSRB-2013-06
34-70617 Oct. 7, 2013 Notice of Withdrawal of Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members
See also: Notice: Rel. No. 34-70004

SR-MSRB-2013-08
34-70607 Oct. 3, 2013 Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document
Comments due: November 12, 2013
Additional Materials: Exhibit 2, Exhibit 5
See also: Order: Rel. No. 34-70990

SR-MSRB-2013-07
34-70593 Oct. 1, 2013 Notice of Filing of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance
Comments due: November 12, 2013
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-71665; Order: Rel. No. 34-71326
Third Quarter

SR-MSRB-2013-05
34-70532 Sep. 26, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend MSRB Rules G-8, G-11, and G-32 to Include Provisions Specifically Tailored for Retail Order Periods
Comments due: October 23, 2013
See also: Notice: Rel. No. 34-69834
* Submit comments on SR-MSRB-2013-05

SR-MSRB-2013-04
34-70531 Sep. 26, 2013 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
See also: Notice: Rel. No. 34-71598, Notice: Rel. No. 34-69835, Notice: Rel. No. 34-71144

SR-MSRB-2013-06
34-70004 Jul. 18, 2013 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members
Comments due: August 14, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-MSRB-2013-06
See also: Notice: Rel. No. 34-70617
Second Quarter

SR-MSRB-2013-04
34-69835 Jun. 24, 2013 Notice of Filing of a Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: July 19, 2013
Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5
See also: Order: Rel. No. 34-70531, Notice: Rel. No. 34-71144
Comments received are available for this proposal.

SR-MSRB-2013-05
34-69834 Jun. 24, 2013 Notice of Filing of a Proposed Rule Change to Amend MSRB Rules G-8, G-11 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods
Comments due: July 19, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-70532
Comments received are available for this proposal.
* Submit comments on SR-MSRB-2013-05

SR-MSRB-2013-02
34-69635 May 24, 2013 Order Approving a Proposed Rule Change to Amend MSRB Rule G-39, on Telemarketing
See also: Notice: Rel. No. 34-68987
First Quarter

SR-MSRB-2013-01
34-69249 Mar. 28, 2013 Order Granting Approval of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37
See also: Notice: Rel. No. 34-68872

SR-MSRB-2013-03
34-69086 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to MSRB Form RTRS
Comments due: April 4, 2013
Additional Materials: Exhibit 3

SR-MSRB-2013-02
34-68987 Feb. 26, 2013 Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rule G-39, on Telemarketing
Comments due: March 25, 2013
See also: Order: Rel. No. 34-69635

SR-MSRB-2013-01
34-68872 Feb. 8, 2013 Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37
Comments due: March 7, 2013
Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5
See also: Notice: Rel. No. 34-69249
Comments received are available for this proposal.


MSRB File Number List for 2013
Release No. Date Details

SR-MSRB-2013-09
34-71616 Feb. 26, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination ("RTRS Facility"); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements under G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40, and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12
34-71255 Jan. 8, 2014 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 thereto, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination ("RTRS Facility"); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements under Rules G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40; and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12
Comments due: February 4, 2014
Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2013-08
34-70990 Dec. 5, 2013 Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document
34-70607 Oct. 3, 2013 Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document
Comments due: November 12, 2013
Additional Materials: Exhibit 2, Exhibit 5

SR-MSRB-2013-07
34-71665 Mar. 7, 2014 Order Granting Approval of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals , and the Proposed Deletion of Interpretive Guidance
34-71326 Jan. 16, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals ("SMMPs"), and the Proposed Deletion of Interpretive Guidance
Comments due: February 13, 2014
Rebuttal comments due: March 6, 2014
34-70593 Oct. 1, 2013 Notice of Filing of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance
Comments due: November 12, 2013
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2013-06
34-70617 Oct. 7, 2013 Notice of Withdrawal of Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members
See also: Notice: Rel. No. 34-70004
34-70004 Jul. 18, 2013 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members
Comments due: August 14, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-MSRB-2013-06

SR-MSRB-2013-05
34-70532 Sep. 26, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend MSRB Rules G-8, G-11, and G-32 to Include Provisions Specifically Tailored for Retail Order Periods
Comments due: October 23, 2013
* Submit comments on SR-MSRB-2013-05
34-69834 Jun. 24, 2013 Notice of Filing of a Proposed Rule Change to Amend MSRB Rules G-8, G-11 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods
Comments due: July 19, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-MSRB-2013-05

SR-MSRB-2013-04
34-71598 Feb. 21, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: 21 days after publication in the Federal Register
* Submit comments on SR-MSRB-2013-04
34-71144 Dec. 19, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
34-70531 Sep. 26, 2013 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
34-69835 Jun. 24, 2013 Notice of Filing of a Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: July 19, 2013
Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2013-03
34-69086 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to MSRB Form RTRS
Comments due: April 4, 2013
Additional Materials: Exhibit 3

SR-MSRB-2013-02
34-69635 May 24, 2013 Order Approving a Proposed Rule Change to Amend MSRB Rule G-39, on Telemarketing
34-68987 Feb. 26, 2013 Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rule G-39, on Telemarketing
Comments due: March 25, 2013

SR-MSRB-2013-01
34-69249 Mar. 28, 2013 Order Granting Approval of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37
34-68872 Feb. 8, 2013 Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37
Comments due: March 7, 2013
Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5
Comments received are available for this proposal.

 

http://www.sec.gov/work/rules/sro/msrb/msrbarchive/msrbarchive2013.shtml


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