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MSRB Rulemaking Archive: 2015
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 2015
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-MSRB-2015-14 |
| 34-76763 |
Dec. 23, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, Rule G-8, on Books and Records, Rule G-9, on Preservation of Records, and Forms G-37 and G-37x
Comments due: January 20, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-03 |
| 34-76753 |
Dec. 23, 2015 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
See also: Notice: Rel. No. 34-76420, Notice: Rel. No. 34-75737, Notice: Rel. No. 34-75628, Notice: Rel. No. 34-74860
|
SR-MSRB-2015-13 |
| 34-76653 |
Dec. 15, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB’s Address on the Forms
Comments due: January 11, 2016
Additional Materials: Exhibit 3
|
SR-MSRB-2015-12 |
| 34-76443 |
Nov. 16, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing
Comments due: December 11, 2015
Additional Materials: Exhibit 5
|
SR-MSRB-2015-03 |
| 34-76420 |
Nov. 10, 2015 |
Notice of Filing of Amendment No. 2 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: December 1, 2015
See also: Notice: Rel. No. 34-76753, Notice: Rel. No. 34-75737, Order: Rel. No. 34-75628, Notice: Rel. No. 34-74860
|
SR-MSRB-2015-09 |
| 34-76381 |
Nov. 6, 2015 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance
See also: Notice: Rel. No. 34-75932
|
SR-MSRB-2015-11 |
| 34-76146 |
Oct. 14, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)
Comments due: November 10, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
| Third Quarter |
SR-MSRB-2015-10 |
| 34-75934 |
Sep. 17, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, and Rule D-15, on the Definition of Sophisticated Municipal Market Professional
Comments due: October 14, 2015
Comments received are available for this proposal.
|
SR-MSRB-2015-09 |
| 34-75932 |
Sep. 16, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance
Comments due: October 13, 2015
Additional Materials: Exhibit 2, Exhibit 5
See also: Order: Rel. No. 34-76381
Comments received are available for this proposal.
|
SR-MSRB-2015-08 |
| 34-75751 |
Aug. 24, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Comments due: September 18, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-03 |
| 34-75737 |
Aug. 19, 2015 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: September 11, 2015
See also: Notice: Rel. No. 34-76753, Notice: Rel. No. 34-76420, Order: Rel. No. 34-75628, Notice: Rel. No. 34-74860
Comments received are available for this proposal.
|
SR-MSRB-2015-07 |
| 34-75646 |
Aug. 7, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Revisions to the Content Outlines for the Municipal Fund Securities Limited Principal Qualification Examination, Municipal Securities Representative Qualification Examination and Municipal Securities Principal Qualification Examination and Revisions to the Selection Specifications for the Municipal Securities Principal Qualification Examination
Comments due: September 3, 2015
Additional Materials: Exhibit 3A, Exhibit 3B, Exhibit 3C, Exhibit 3D
Comments received are available for this proposal.
|
SR-MSRB-2015-03 |
| 34-75628 |
Aug. 6, 2015 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: September 11, 2015
Rebuttal comments due: September 28, 2015
See also: Notice: Rel. No. 34-76753, Notice: Rel. No. 34-76420, Notice: Rel. No.34-75737, Notice: Rel. No.34-74860
Comments received are available for this proposal.
|
SR-MSRB-2015-06 |
| 34-75602 |
Aug. 4, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, Real-time Transaction Reporting System and Short-Term Obligation Rate Transparency System
Comments due: August 31, 2015
Additional Materials: Exhibit 5
|
SR-MSRB-2015-05 |
| 34-75454 |
Jul. 15, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: August 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
| Second Quarter |
SR-MSRB-2015-02 |
| 34-75039 |
May 22, 2015 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service
See also: Notice: Rel. No. 34-74564
Comments received are available for this proposal.
|
SR-MSRB-2015-03 |
| 34-74860 |
May 4, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: May 29, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76753, Notice: Rel. No. 34-76420, Notice: Rel. No. 34-75737; Order: Rel. No. 34-75628
Comments received are available for this proposal.
|
| First Quarter |
SR-MSRB-2015-04 |
| 34-74858 |
May 1, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of the Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination
Comments due: May 28, 2015
Additional Materials:
Comments received are available for this proposal.
Exhibit 3a, Exhibit 3b
|
SR-MSRB-2015-02 |
| 34-74564 |
Mar. 23, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service
Additional Materials: Exhibit 2, Exhibit 5
See also:
Order Rel. No. 34-75039
Comments received are available for this proposal.
|
SR-MSRB-2015-01 |
| 34-74561 |
Mar. 23, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-16, on Examination Fees
Comments due: April 17, 2015
Additional Materials: Exhibit 5
|
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: March 25, 2015
See also: Notice: Rel. No. 34-73708
|
| MSRB File Number List for 2015 |
| Release No. |
Date |
Details |
SR-MSRB-2015-14 |
| 34-76763 |
Dec. 23, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, Rule G-8, on Books and Records, Rule G-9, on Preservation of Records, and Forms G-37 and G-37x
Comments due: January 20, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-13 |
| 34-76653 |
Dec. 15, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB’s Address on the Forms
Comments due: January 11, 2016
Additional Materials: Exhibit 3
|
SR-MSRB-2015-12 |
| 34-76443 |
Nov. 16, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing
Comments due: December 11, 2015
Additional Materials: Exhibit 5
|
SR-MSRB-2015-11 |
| 34-76146 |
Oct. 14, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)
Comments due: November 10, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-10 |
| 34-75934 |
Sep. 17, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, and Rule D-15, on the Definition of Sophisticated Municipal Market Professional
Comments due: October 14, 2015
Comments received are available for this proposal.
|
SR-MSRB-2015-09 |
| 34-76381 |
Nov. 6, 2015 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance
|
| 34-75932 |
Sep. 16, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance
Comments due: October 13, 2015
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-08 |
| 34-75751 |
Aug. 24, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Comments due: September 18, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-07 |
| 34-75646 |
Aug. 7, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Revisions to the Content Outlines for the Municipal Fund Securities Limited Principal Qualification Examination, Municipal Securities Representative Qualification Examination and Municipal Securities Principal Qualification Examination and Revisions to the Selection Specifications for the Municipal Securities Principal Qualification Examination
Comments due: September 3, 2015
Additional Materials: Exhibit 3A, Exhibit 3B, Exhibit 3C, Exhibit 3D
Comments received are available for this proposal.
|
SR-MSRB-2015-06 |
| 34-75602 |
Aug. 4, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, Real-time Transaction Reporting System and Short-Term Obligation Rate Transparency System
Comments due: August 31, 2015
Additional Materials: Exhibit 5
|
SR-MSRB-2015-05 |
| 34-75454 |
Jul. 15, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: August 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-04 |
| 34-74858 |
May 1, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of the Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination
Comments due: May 28, 2015
Additional Materials:
Comments received are available for this proposal.
Exhibit 3a, Exhibit 3b
Comments received are available for this proposal.
|
SR-MSRB-2015-03 |
| 34-76753 |
Dec. 23, 2015 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
|
| 34-76420 |
Nov. 10, 2015 |
Notice of Filing of Amendment No. 2 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: December 1, 2015
|
| 34-75737 |
Aug. 19, 2015 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: September 11, 2015
Comments received are available for this proposal.
|
| 34-75628 |
Aug. 6, 2015 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: September 11, 2015
Rebuttal comments due: September 28, 2015
|
| 34-74860 |
May 4, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments due: May 29, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-02 |
| 34-75039 |
May 22, 2015 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service
Comments received are available for this proposal.
|
| 34-74564 |
Mar. 23, 2015 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2015-01 |
| 34-74561 |
Mar. 23, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-16, on Examination Fees
Comments due: April 17, 2015
Additional Materials: Exhibit 5
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http://www.sec.gov/rules/sro/msrb/msrbarchive/msrbarchive2015.shtml
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