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
Third Quarter |  Second Quarter |  First Quarter

MSRB File Number List for 2017

Additional Archives

Chronological List for 2017

Release No. Date Details
Third Quarter
SR-MSRB-2017-06
34-81595 Sep. 13, 2017 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements
Comments due: October 10, 2017
Additional Materials: Exhibit 2, Exhibit 5
SR-MSRB-2017-04
34-81432 Aug. 18, 2017 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-21(e), on Municipal Fund Security Product Advertisements
Comments due: September 14, 2017
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-81060
SR-MSRB-2017-05
34-81264 Jul. 31, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of Plans
Comments due: August 25, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-MSRB-2017-03
34-81233 Jul. 27, 2017 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-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard
Comments due: August 23, 2017
See also: Notice: Rel. No. 34-80890
Second Quarter
SR-MSRB-2017-04
34-81060 Jun. 30, 2017 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements
Comments due: July 28, 2017
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice and Order: Rel. No. 34-81432
Comments received are available for this proposal.
SR-MSRB-2017-03
34-80890 Jun. 7, 2017 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard
Comments due: July 5, 2017
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice: Rel. No. 34-81233
Comments received are available for this proposal.
SR-MSRB-2017-02
34-80699 May 16, 2017 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements
See also: Notice: Rel. No. 34-80327
SR-MSRB-2017-01
34-80610 May 5, 2017 Notice of Withdrawal of a Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15
See also: Notice: Rel. No. 34-79978
First Quarter
SR-MSRB-2017-02
34-80327 Mar. 29, 2017 Notice of Filing of a Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements
Comments due: April 25, 2017
Additional Materials: Exhibit 2, Exhibit 5
See also: -Order: Rel. No. 34-80699
Comments received are available for this proposal.
SR-MSRB-2017-01
34-79978 Feb. 6, 2017 Notice of Filing of a Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15
Comments due: March 2, 2017
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice: Rel. No. 34-80610
Comments received are available for this proposal.
SR-MSRB-2016-15
34-79801 Jan. 13, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules
Comments due: February 13, 2017
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-79295
Comments received are available for this proposal.


MSRB File Number List for 2017

Release No. Date Details
SR-MSRB-2017-06
34-81595 Sep. 13, 2017 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements
Comments due: October 10, 2017
Additional Materials: Exhibit 2, Exhibit 5
SR-MSRB-2017-05
34-81264 Jul. 31, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of Plans
Comments due: August 25, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-MSRB-2017-04
34-81432 Aug. 18, 2017 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-21(e), on Municipal Fund Security Product Advertisements
Comments due: September 14, 2017
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-81060
34-81060 Jun. 30, 2017 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements
Comments due: July 28, 2017
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
SR-MSRB-2017-03
34-81233 Jul. 27, 2017 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-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard
Comments due: August 23, 2017
See also: Notice: Rel. No. 34-80890
34-80890 Jun. 7, 2017 Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard
Comments due: July 5, 2017
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
SR-MSRB-2017-02
34-80699 May 16, 2017 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements
See also: Notice: Rel. No. 34-80327
34-80327 Mar. 29, 2017 Notice of Filing of a Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements
Comments due: April 25, 2017
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
SR-MSRB-2017-01
34-80610 May 5, 2017 Notice of Withdrawal of a Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15
34-79978 Feb. 6, 2017 Notice of Filing of a Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15
Comments due: March 2, 2017
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.