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MSRB Rulemaking Archive: 2016
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 2016
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-MSRB-2016-12 |
| 34-79347 |
Nov. 17, 2016 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due: December 14, 2016
Additional Materials: Exhibit 4, Exhibit 5
|
SR-MSRB-2016-15 |
| 34-79295 |
Nov. 14, 2016 |
Notice of Filing of a Proposed Rule Change to Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules
Comments due: December 9, 2016
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-79801
Comments received are available for this proposal.
|
SR-MSRB-2016-14
|
| 34-79239 |
Nov. 4, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product
Comments due: December 1, 2016
Additional Materials: Exhibit 5
|
SR-MSRB-2016-13 |
| 34-79225 |
Nov. 3, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum
Comments due: November 30, 2016
Additional Materials: Exhibit 5
|
| Third Quarter |
SR-MSRB-2016-09 |
| 34-78826 |
Sep. 13, 2016 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish the MSRB Academic Historical Transaction Data Product
Comments due: October 11, 2016
|
SR-MSRB-2016-12 |
| 34-78777 |
Sep. 7, 2016 |
Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due: October 4, 2016
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-79347
Comments received are available for this proposal.
|
SR-MSRB-2016-11 |
| 34-78622 |
Aug. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities
Comments due: September 16, 2016
Additional Materials: Exhibit 5 |
SR-MSRB-2016-07 |
| 34-78611 |
Aug. 18, 2016 |
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 Amendments to Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: September 14, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-77903
|
SR-MSRB-2016-09 |
| 34-78323 |
Jul. 14, 2016 |
Notice of Filing of a Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product
Comments due: August 10, 2016
Comments received are available for this proposal. |
| Second Quarter |
SR-MSRB-2016-08 |
| 34-78186 |
Jun. 28, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)
Comments due: July 26, 2016
Additional Materials: Exhibit 3a, Exhibit 3b |
SR-MSRB-2016-07 |
| 34-77903 |
May 25, 2016 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: June 22, 2016
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice/Order: Rel. No. 34-78611
Comments received are available for this proposal.
|
SR-MSRB-2016-06 |
| 34-77856 |
May 19, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation
Comments due: June 15, 2016
Additional Materials: Exhibit 5 |
SR-MSRB-2016-04 |
| 34-77744 |
Apr. 29, 2016 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-5 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
See also: Notice: Rel. No. 34-77364
|
| First Quarter |
SR-MSRB-2016-01 |
| 34-77390 |
Mar. 17, 2016 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
See also: Notice: Rel. No. 34-76999
|
SR-MSRB-2016-05 |
| 34-77366 |
Mar. 14, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting
Comments due: April 8, 2016
|
SR-MSRB-2016-04 |
| 34-77364 |
Mar. 14, 2016 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
Comments due: April 8, 2016
See also: Order: Rel. No. 34-77744
Comments received are available for this proposal.
|
SR-MSRB-2016-03 |
| 34-77316 |
Mar. 8, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice
Comments due: April 4, 2016
Additional Materials: Exhibit 5
|
SR-MSRB-2016-02 |
| 34-77051 |
Feb. 4, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program
Comments due: March 2, 2016
Additional Materials: Exhibit 3
|
SR-MSRB-2016-01 |
| 34-76999 |
Jan. 29, 2016 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
Comments due: February 25, 2016
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal. |
| MSRB File Number List for 2016 |
| Release No. |
Date |
Details |
SR-MSRB-2016-15 |
| 34-79801 |
Jan. 13, 2017 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules
Comments due: February 13, 2017
Additional Materials: Exhibit 4, Exhibit 5
|
| 34-79295 |
Nov. 14, 2016 |
Notice of Filing of a Proposed Rule Change to Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules
Comments due: December 9, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2016-14 |
| 34-79239 |
Nov. 4, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product
Comments due: December 1, 2016
Additional Materials: Exhibit 5
|
SR-MSRB-2016-13 |
| 34-79225 |
Nov. 3, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum
Comments due: November 30, 2016
Additional Materials: Exhibit 5
|
SR-MSRB-2016-12 |
| 34-79347 |
Nov. 17, 2016 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due: December 14, 2016
Additional Materials: Exhibit 4, Exhibit 5
|
| 34-78777 |
Sep. 7, 2016 |
Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due: October 4, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2016-11 |
| 34-78622 |
Aug. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities
Comments due: September 16, 2016
Additional Materials: Exhibit 5 |
SR-MSRB-2016-09 |
| 34-78826 |
Sep. 13, 2016 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish the MSRB Academic Historical Transaction Data Product
Comments due: October 11, 2016
|
| 34-78323 |
Jul. 14, 2016 |
Notice of Filing of a Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product
Comments due: August 10, 2016
Comments received are available for this proposal. |
SR-SRB-2016-08 |
| 34-78186 |
Jun. 28, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)
Comments due: July 26, 2016
Additional Materials: Exhibit 3a, Exhibit 3b |
SR-MSRB-2016-07 |
| 34-78611 |
Aug. 18, 2016 |
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 Amendments to Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: September 14, 2016
Additional Materials: Exhibit 4, Exhibit 5
|
| 34-77903 |
May 25, 2016 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: June 22, 2016
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
|
SR-MSRB-2016-06 |
| 34-77856 |
May 19, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation
Comments due: June 15, 2016
Additional Materials: Exhibit 5 |
SR-MSRB-2016-05 |
| 34-77366 |
Mar. 14, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting
Comments due: April 8, 2016
|
SR-MSRB-2016-04 |
| 34-77744 |
Apr. 29, 2016 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-5 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
|
| 34-77364 |
Mar. 14, 2016 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
Comments due: April 8, 2016
Comments received are available for this proposal.
|
SR-MSRB-2016-03 |
| 34-77316 |
Mar. 8, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice
Comments due: April 4, 2016
Additional Materials: Exhibit 5
|
SR-MSRB-2016-02 |
| 34-77051 |
Feb. 4, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program
Comments due: March 2, 2016
Additional Materials: Exhibit 3
|
SR-MSRB-2016-01 |
| 34-77390 |
Mar. 17, 2016 |
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
See also: Notice: Rel. No. 34-76999
|
| 34-76999 |
Jan. 29, 2016 |
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
Comments due: February 25, 2016
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal. |
http://www.sec.gov/rules/sro/msrb/msrbarchive/msrbarchive2016.shtml
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