MSRB Rulemaking Archive: 2021
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 2021
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Chronological List for 2021
(Search any column)
Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
SR-MSRB-2021-06 | ||
34-93435 | Oct. 27, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022, Pursuant to MSRB Rule G-27, on Supervision
Comments due: November 23, 2021 Additional Materials: Exhibit 5 |
SR-MSRB-2021-04 | ||
34-93261 | Oct. 5, 2021 | 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 MSRB Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and MSRB Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations
Comments due: November 10, 2021 Additional Materials: Exhibit 4, Exhibit 5 |
Third Quarter | ||
SR-MSRB-2021-05 | ||
34-92938 | Sep. 10, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements
Comments due: October 7, 2021 Additional Materials: Exhibit 5 |
SR-MSRB-2021-04 | ||
34-92677 | Aug. 16, 2021 | Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations
Comments due: September 10, 2021 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |
Second Quarter | ||
SR-MSRB-2021-03 | ||
34-91958 | May 20, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions
Comments due: June 16, 2021 Additional Materials: Exhibit 5 |
First Quarter | ||
SR-MSRB-2021-02 | ||
34-91247 | Mar. 3, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13
Comments due: March 30, 2021 Additional Materials: Exhibit 5 |
SR-MSRB-2021-01 | ||
34-91175 | Feb. 22, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Compliance Date of Amended Form G-32
Comments due: March 19, 2021 |
File Number List for 2021
Release No. | Date | Details |
---|---|---|
SR-MSRB-2021-06 | ||
34-93435 | Oct. 27, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022, Pursuant to MSRB Rule G-27, on Supervision
Comments due: November 23, 2021 Additional Materials: Exhibit 5 |
SR-MSRB-2021-05 | ||
34-92938 | Sep. 10, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements
Comments due: October 7, 2021 Additional Materials: Exhibit 5 |
SR-MSRB-2021-04 | ||
34-93261 | Oct. 5, 2021 | 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 MSRB Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and MSRB Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations
Comments due: November 10, 2021 Additional Materials: Exhibit 4, Exhibit 5 |
34-92677 | Aug. 16, 2021 | Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations
Comments due: September 10, 2021 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |
SR-MSRB-2021-03 | ||
34-91958 | May 20, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions
Comments due: June 16, 2021 Additional Materials: Exhibit 5 |
SR-MSRB-2021-02 | ||
34-91247 | Mar. 3, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13
Comments due: March 30, 2021 Additional Materials: Exhibit 5 |
SR-MSRB-2021-01 | ||
34-91175 | Feb. 22, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Compliance Date of Amended Form G-32
Comments due: March 19, 2021 |