MSRB Rulemaking

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

Additional Archives

Chronological List for 2018

Release No. Date Details
Fourth Quarter
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
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-2018-07
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
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.

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