MSRB Rulemaking Archive: 2018
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 2018
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Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-MSRB-2018-10 | ||
| 34-84926 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination
Comments due: January 22, 2019 Additional Materials: Exhibit 3 |
| SR-MSRB-2018-09 | ||
| 34-84837 | Dec. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)
Comments due: January 11, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-MSRB-2018-08 | ||
| 34-84809 | Dec. 12, 2018 | Order Granting Approval of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities |
| SR-MSRB-2018-07 | ||
| 34-84630 | Nov. 20, 2018 | Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination |
| SR-MSRB-2018-08 | ||
| 34-84496 | Oct. 29, 2018 | Notice of Filing of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: November 23, 2018 Additional Materials: Exhibit 2, Exhibit 3 |
| SR-MSRB-2018-07 | ||
| 34-84341 | Oct. 2, 2018 | Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination
Comments due: October 30, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Third Quarter | ||
| SR-MSRB-2018-06 | ||
| 34-83713 | Jul. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers
Comments due: August 22, 2018 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-MSRB-2018-05 | ||
| 34-83572 | Jun. 29, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Content Outline and Selection Specifications for the Series 52 Examination and to Revise the Content Outlines for the Series 50, Series 51 and Series 53 Examinations
Comments due: July 27, 2018 Additional Materials: Exhibit 3 |
| SR-MSRB-2018-04 | ||
| 34-83483 | Jun. 20, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Among Other Things, Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules
Comments due: July 17, 2018 Additional Materials: Exhibit 5 |
| SR-MSRB-2018-03 | ||
| 34-83207 | May 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules
Comments due: June 6, 2018 Additional Materials: Exhibit 5 |
| SR-MSRB-2018-01 | ||
| 34-83177 | May 7, 2018 | Order Granting Approval of a Proposed Rule Change, Consisting to Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors |
| SR-MSRB-2018-02 | ||
| 34-83038 | Apr. 12, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System
Comments due: May 9, 2018 Additional Materials: Exhibit 4, Exhibit 5 |
| First Quarter | ||
| SR-MSRB-2018-01 | ||
| 34-82616 | Feb. 1, 2018 | Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors
Comments due: February 28, 2018 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |
MSRB File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-MSRB-2018-10 | ||
| 34-84926 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination
Comments due: January 22, 2019 Additional Materials: Exhibit 3 |
| SR-MSRB-2018-09 | ||
| 34-84837 | Dec. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)
Comments due: January 11, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-MSRB-2018-08 | ||
| 34-84809 | Dec. 12, 2018 | Order Granting Approval of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities |
| 34-84496 | Oct. 29, 2018 | Notice of Filing of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
Comments due: November 23, 2018 Additional Materials: Exhibit 2, Exhibit 3 |
| SR-MSRB-2018-07 | ||
| 34-84630 | Nov. 20, 2018 | Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination |
| 34-84341 | Oct. 2, 2018 | Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination
Comments due: October 30, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-MSRB-2018-06 | ||
| 34-83713 | Jul. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers
Comments due: August 22, 2018 Additional Materials: Exhibit 5 |
| SR-MSRB-2018-05 | ||
| 34-83572 | Jun. 29, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Content Outline and Selection Specifications for the Series 52 Examination and to Revise the Content Outlines for the Series 50, Series 51 and Series 53 Examinations
Comments due: July 27, 2018 Additional Materials: Exhibit 3 |
| SR-MSRB-2018-04 | ||
| 34-83483 | Jun. 20, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Among Other Things, Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules
Comments due: July 17, 2018 Additional Materials: Exhibit 5 |
| SR-MSRB-2018-03 | ||
| 34-83207 | May 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules
Comments due: June 6, 2018 Additional Materials: Exhibit 5 |
| SR-MSRB-2018-02 | ||
| 34-83038 | Apr. 12, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System
Comments due: May 9, 2018 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-MSRB-2018-01 | ||
| 34-83177 | May 7, 2018 | Order Granting Approval of a Proposed Rule Change, Consisting to Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors |
| 34-82616 | Feb. 1, 2018 | Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors
Comments due: February 28, 2018 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |