Municipal Securities Rulemaking Board (MSRB) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-73707 | Dec 1, 2014 | SR-MSRB-2014-09 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Exhibit 5 |
| 34-73708 | Dec 1, 2014 | SR-MSRB-2014-08 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-74384 |
| 34-73415 | Oct 23, 2014 | SR-MSRB-2014-06 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Exhibit 4, Exhibit 5, Rel. No. 34-72706 |
| 34-73368 | Oct 15, 2014 | SR-MSRB-2014-05 | Municipal Securities Rulemaking Board (MSRB) | Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements View Received Comments See Also - Rel. No. 34-72705 |
| 34-72956 | Sep 2, 2014 | SR-MSRB-2014-07 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-73764 |
| 34-72743 | Aug 1, 2014 | SR-MSRB-2014-04 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Rel. No. 34-72425 |
| 34-72706 | Jul 29, 2014 | SR-MSRB-2014-06 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-73415 |
| 34-72705 | Jul 29, 2014 | SR-MSRB-2014-05 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-73368 |
| 34-72425 | Jun 18, 2014 | SR-MSRB-2014-04 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-72743 |
| 34-72129 | May 8, 2014 | SR-MSRB-2014-01 | Municipal Securities Rulemaking Board (MSRB) | 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 View Received Comments See Also - Exhibit 4, Exhibit 5, Rel. No. 34-71536 |