Municipal Securities Rulemaking Board (MSRB) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-72705 | 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 |
| 34-72706 | 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 |
| 34-72425 | 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 |
| 34-72019 | Apr 25, 2014 | SR-MSRB-2014-03 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals View Received Comments See Also - Exhibit 5 |
| 34-71690 | Mar 11, 2014 | SR-MSRB-2014-02 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-Time Transaction Reporting System, and Short-Term Obligation Rate Transparency System See Also - Exhibit 5 |
| 34-71665 | Mar 7, 2014 | SR-MSRB-2013-07 | Municipal Securities Rulemaking Board (MSRB) | Order Granting Approval of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance View Received Comments See Also - Rel. No. 34-71326, Rel. No. 34-70593 |