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MSRB Rulemaking Archive: 2014
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 2014
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-MSRB-2014-07 |
| 34-73764 |
Dec. 5, 2014 |
Order Granting Approval of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals ("SMMP"), and Rule D-15, on the Definition of SMMP
See also: Notice: Rel. No. 34-72956
|
SR-MSRB-2014-08 |
| 34-73708 |
Dec. 1, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rules G-1, on Separately Identifiable Department or Division of a Bank; G-2, on Standards of Professional Qualification; G-3, on Professional Qualification Requirements; and D-13, on Municipal Advisory Activities
Comments due: December 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice: Rel. No. 34-74384
Comments received are available for this proposal.
|
SR-MSRB-2014-09 |
| 34-73707 |
Dec. 1, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB's Electronic Municipal Market Access (EMMA) System to Add Disclosures Related to Municipal Asset-Backed Securities
Comments due: December 26, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-06 |
| 34-73415 |
Oct. 23, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
Comments due: November 19, 2014
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice of Filing of Amendment No. 1 and Order: Rel. No. 34-72706
|
SR-MSRB-2014-05 |
| 34-73368 |
Oct. 15, 2014 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements
See also: Notice: Rel. No. 34-72705
|
| Third Quarter |
SR-MSRB-2014-07 |
| 34-72956 |
Sep. 2, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals ("SMMP"), and Rule D-15, on the Definition of SMMP
Comments due: September 29, 2014
Additional Materials: Exhibit 2, Exhibit 5
See also: Order: Rel. No. 34-73764
Comments received are available for this proposal.
|
SR-MSRB-2014-04 |
| 34-72743 |
Aug. 1, 2014 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
See also: Notice: Rel. No. 34-72425
|
SR-MSRB-2014-06 |
| 34-72706 |
Jul. 29, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice of Filing of Amendment No. 1 and Order: Rel. No. 34-73415
Comments received are available for this proposal.
|
SR-MSRB-2014-05 |
| 34-72705 |
Jul. 29, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
See also: Order: Rel. No. 34-73368
Comments received are available for this proposal.
|
| Second Quarter |
SR-MSRB-2014-04 |
| 34-72425 |
Jun. 18, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
Comments due: July 15, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-72743
|
SR-MSRB-2014-01 |
| 34-72129 |
May 8, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: June 4, 2014
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-71536
|
SR-MSRB-2014-03 |
| 34-72019 |
Apr. 25, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals
Comments due: May 22, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
| First Quarter |
SR-MSRB-2014-02 |
|
34-71690 |
Mar. 11, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-time Transaction Reporting System, and Short-Term Obligation Rate Transparency System
Comments due: April 7, 2014
Additional Materials:
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
See also:
Notice: Rel. No. 34-71326,
Notice: Rel. No. 34-70593
|
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
See also:
Notice: Rel. No. 34-71255
|
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: March 20, 2014
Additional Materials:
Exhibit 4,
Exhibit 5
See also:
Notice: Rel. No. 34-71144,
Order: Rel. No. 34-70531,
Notice: Rel. No. 34-69835
|
SR-MSRB-2014-01 |
|
34-71536 |
Feb. 12, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: March 12, 2014
Additional Materials:
Exhibit 2, Exhibit 5
See also: Order: Rel. No. 34-72129
Comments received are available for this proposal.
|
SR-MSRB-2013-07 |
|
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
See also:
Notice: Rel. No. 34-70593;
Order: Rel. No. 34-71665
Comments due: February 13, 2014
Rebuttal comments due: March 6, 2014
Comments received
are available
for this proposal.
|
SR-MSRB-2013-09 |
|
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.
See also:
Order: Rel. No. 34-71616
|
| MSRB File Number List for 2014 |
| Release No. |
Date |
Details |
SR-MSRB-2014-09 |
| 34-73707 |
Dec. 1, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB's Electronic Municipal Market Access (EMMA) System to Add Disclosures Related to Municipal Asset-Backed Securities
Comments due: December 26, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-08 |
| 34-74384 |
Feb. 26, 2015 |
Notice of Filing of Amendment No. 1 and Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rules G-1, on Separately Identifiable Department or Division of a Bank; G-2, on Standards of Professional Qualification; G-3, on Professional Qualification Requirements; and D-13, on Municipal Advisory Activities
Comments due: 21 days after publication in the Federal Register
|
| 34-73708 |
Dec. 1, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rules G-1, on Separately Identifiable Department or Division of a Bank; G-2, on Standards of Professional Qualification; G-3, on Professional Qualification Requirements; and D-13, on Municipal Advisory Activities
Comments due: December 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-07 |
| 34-73764 |
Dec. 5, 2014 |
Order Granting Approval of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals ("SMMP"), and Rule D-15, on the Definition of SMMP
|
| 34-72956 |
Sep. 2, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals ("SMMP"), and Rule D-15, on the Definition of SMMP
Comments due: September 29, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-06 |
| 34-73415 |
Oct. 23, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
Comments due: November 19, 2014
Additional Materials: Exhibit 4, Exhibit 5
|
| 34-72706 |
Jul. 29, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-05 |
| 34-73368 |
Oct. 15, 2014 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements
|
| 34-72705 |
Jul. 29, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements
Comments due: August 26, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-04 |
| 34-72743 |
Aug. 1, 2014 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
|
| 34-72425 |
Jun. 18, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
Comments due: July 15, 2014
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-03 |
| 34-72019 |
Apr. 25, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals
Comments due: May 22, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2014-02 |
|
34-71690 |
Mar. 11, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-time Transaction Reporting System, and Short-Term Obligation Rate Transparency System
Comments due: April 7, 2014
Additional Materials:
Exhibit 5
|
SR-MSRB-2014-01 |
| 34-72129 |
May 8, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: June 4, 2014
Additional Materials: Exhibit 4, Exhibit 5
|
|
34-71536 |
Feb. 12, 2014 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
Comments due: March 12, 2014
Additional Materials:
Exhibit 2, Exhibit 5
Comments received are available for this proposal.
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http://www.sec.gov/rules/sro/msrb/msrbarchive/msrbarchive2014.shtml
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