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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 2016

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-MSRB-2016-12
34-79347 Nov. 17, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 4, Exhibit 5

SR-MSRB-2016-15
34-79295 Nov. 14, 2016 Notice of Filing of a Proposed Rule Change to Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules
Comments due: December 9, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-14
34-79239 Nov. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product
Comments due: December 1, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-13
34-79225 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum
Comments due: November 30, 2016
Additional Materials: Exhibit 5
Third Quarter

SR-MSRB-2016-09
34-78826 Sep. 13, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish the MSRB Academic Historical Transaction Data Product
Comments due: October 11, 2016

SR-MSRB-2016-12
34-78777 Sep. 7, 2016 Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due:  October 4, 2016
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-79347-->
Comments received are available for this proposal.

SR-MSRB-2016-11
34-78622 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-07
34-78611 Aug. 18, 2016 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 Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: September 14, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-77903

SR-MSRB-2016-09
34-78323 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product
Comments due: August 10, 2016
Comments received are available for this proposal.
Second Quarter

SR-MSRB-2016-08
34-78186 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)
Comments due: July 26, 2016
Additional Materials: Exhibit 3a, Exhibit 3b

SR-MSRB-2016-07
34-77903 May 25, 2016 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: June 22, 2016
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice/Order: Rel. No. 34-78611
Comments received are available for this proposal.

SR-MSRB-2016-06
34-77856 May 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation
Comments due:  June 15, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-04
34-77744 Apr. 29, 2016 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-5 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
See also: Notice: Rel. No. 34-77364
First Quarter

SR-MSRB-2016-01
34-77390 Mar. 17, 2016 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
See also: Notice: Rel. No. 34-76999

SR-MSRB-2016-05
34-77366 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting
Comments due: April 8, 2016

SR-MSRB-2016-04
34-77364 Mar. 14, 2016 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
Comments due: April 8, 2016
See also: Order: Rel. No. 34-77744
Comments received are available for this proposal.

SR-MSRB-2016-03
34-77316 Mar. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice
Comments due: April 4, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-02
34-77051 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program
Comments due: March 2, 2016
Additional Materials: Exhibit 3

SR-MSRB-2016-01
34-76999 Jan. 29, 2016 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
Comments due: February 25, 2016
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.


MSRB File Number List for 2016
Release No. Date Details

SR-MSRB-2016-15
34-79295 Nov. 14, 2016 Notice of Filing of a Proposed Rule Change to Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules
Comments due: December 9, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-14
34-79239 Nov. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product
Comments due: December 1, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-13
34-79225 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum
Comments due: November 30, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-12
34-79347 Nov. 17, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 4, Exhibit 5
34-78777 Sep. 7, 2016 Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price
Comments due:  October 4, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2016-11
34-78622 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-09
34-78826 Sep. 13, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish the MSRB Academic Historical Transaction Data Product
Comments due: October 11, 2016
34-78323 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product
Comments due: August 10, 2016
Comments received are available for this proposal.

SR-SRB-2016-08
34-78186 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)
Comments due: July 26, 2016
Additional Materials: Exhibit 3a, Exhibit 3b

SR-MSRB-2016-07
34-78611 Aug. 18, 2016 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 Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: September 14, 2016
Additional Materials: Exhibit 4, Exhibit 5
34-77903 May 25, 2016 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities
Comments due: June 22, 2016
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.

SR-MSRB-2016-06
34-77856 May 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation
Comments due:  June 15, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-05
34-77366 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting
Comments due: April 8, 2016

SR-MSRB-2016-04
34-77744 Apr. 29, 2016 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-5 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
34-77364 Mar. 14, 2016 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
Comments due: April 8, 2016
Comments received are available for this proposal.

SR-MSRB-2016-03
34-77316 Mar. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice
Comments due: April 4, 2016
Additional Materials: Exhibit 5

SR-MSRB-2016-02
34-77051 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program
Comments due: March 2, 2016
Additional Materials: Exhibit 3

SR-MSRB-2016-01
34-77390 Mar. 17, 2016 Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
See also: Notice: Rel. No. 34-76999
34-76999 Jan. 29, 2016 Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board
Comments due: February 25, 2016
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.

 

http://www.sec.gov/rules/sro/msrb.shtml


Modified: 11/22/2016