MSRB Rulemaking: 2013

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 2013

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Chronological List

Release No.	Date	Details
Fourth Quarter
SR-MSRB-2013-04
34-71144	Dec. 19, 2013	Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities See also:  Notice: Rel. No. 34-71598, Order: Rel. No. 34-70531, Notice: Rel. No. 34-69835
SR-MSRB-2013-08
34-70990	Dec. 5, 2013	Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document See also:  Notice: Rel. No. 34-70607
SR-MSRB-2013-06
34-70617	Oct. 7, 2013	Notice of Withdrawal of Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members See also:  Notice: Rel. No. 34-70004
SR-MSRB-2013-08
34-70607	Oct. 3, 2013	Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document Comments due: November 12, 2013 Additional Materials:  Exhibit 2, Exhibit 5 See also:  Order: Rel. No. 34-70990
SR-MSRB-2013-07
34-70593	Oct. 1, 2013	Notice of Filing 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 Comments due: November 12, 2013 Additional Materials:  Exhibit 2, Exhibit 5 Comments received are available for this proposal. See also:  Order: Rel. No. 34-71665; Order: Rel. No. 34-71326
Third Quarter
SR-MSRB-2013-05
34-70532	Sep. 26, 2013	Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend MSRB Rules G-8, G-11, and G-32 to Include Provisions Specifically Tailored for Retail Order Periods Comments due: October 23, 2013 See also:  Notice: Rel. No. 34-69834 Submit comments on SR-MSRB-2013-05
SR-MSRB-2013-04
34-70531	Sep. 26, 2013	Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities See also:  Notice: Rel. No. 34-71598, Notice: Rel. No. 34-69835, Notice: Rel. No. 34-71144
SR-MSRB-2013-06
34-70004	Jul. 18, 2013	Notice of Filing of a Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members Comments due: August 14, 2013 Additional Materials:  Exhibit 5 Comments received are available for this proposal. Submit comments on SR-MSRB-2013-06 See also:  Notice: Rel. No. 34-70617
Second Quarter
SR-MSRB-2013-04
34-69835	Jun. 24, 2013	Notice of Filing of a Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities Comments due: July 19, 2013 Additional Materials:  Exhibit 2, Exhibit 3, Exhibit 5 See also:  Order: Rel. No. 34-70531, Notice: Rel. No. 34-71144 Comments received are available for this proposal.
SR-MSRB-2013-05
34-69834	Jun. 24, 2013	Notice of Filing of a Proposed Rule Change to Amend MSRB Rules G-8, G-11 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods Comments due: July 19, 2013 Additional Materials:  Exhibit 5 See also:  Notice: Rel. No. 34-70532 Comments received are available for this proposal. Submit comments on SR-MSRB-2013-05
SR-MSRB-2013-02
34-69635	May 24, 2013	Order Approving a Proposed Rule Change to Amend MSRB Rule G-39, on Telemarketing See also:  Notice: Rel. No. 34-68987
First Quarter
SR-MSRB-2013-01
34-69249	Mar. 28, 2013	Order Granting Approval of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37 See also:  Notice: Rel. No. 34-68872
SR-MSRB-2013-03
34-69086	Mar. 8, 2013	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to MSRB Form RTRS Comments due: April 4, 2013 Additional Materials:  Exhibit 3
SR-MSRB-2013-02
34-68987	Feb. 26, 2013	Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rule G-39, on Telemarketing Comments due: March 25, 2013 See also:  Order: Rel. No. 34-69635
SR-MSRB-2013-01
34-68872	Feb. 8, 2013	Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37 Comments due: March 7, 2013 Additional Materials:  Exhibit 2, Exhibit 3, Exhibit 5 See also:  Notice: Rel. No. 34-69249 Comments received are available for this proposal.

MSRB File Number List for 2013

Release No.	Date	Details
SR-MSRB-2013-09
34-71616	Feb. 26, 2014	Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination ("RTRS Facility"); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements under G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40, and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12
34-71255	Jan. 8, 2014	Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 thereto, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination ("RTRS Facility"); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements under Rules G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40; and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12 Comments due: February 4, 2014 Additional Materials:  Exhibit 2, Exhibit 3, Exhibit 5 Comments received are available for this proposal.
SR-MSRB-2013-08
34-70990	Dec. 5, 2013	Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document
34-70607	Oct. 3, 2013	Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document Comments due: November 12, 2013 Additional Materials:  Exhibit 2, Exhibit 5
SR-MSRB-2013-07
34-71665	Mar. 7, 2014	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
34-71326	Jan. 16, 2014	Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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 ("SMMPs"), and the Proposed Deletion of Interpretive Guidance Comments due: February 13, 2014 Rebuttal comments due: March 6, 2014
34-70593	Oct. 1, 2013	Notice of Filing 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 Comments due: November 12, 2013 Additional Materials:  Exhibit 2, Exhibit 5 Comments received are available for this proposal.
SR-MSRB-2013-06
34-70617	Oct. 7, 2013	Notice of Withdrawal of Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members See also:  Notice: Rel. No. 34-70004
34-70004	Jul. 18, 2013	Notice of Filing of a Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members Comments due: August 14, 2013 Additional Materials:  Exhibit 5 Comments received are available for this proposal. Submit comments on SR-MSRB-2013-06
SR-MSRB-2013-05
34-70532	Sep. 26, 2013	Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend MSRB Rules G-8, G-11, and G-32 to Include Provisions Specifically Tailored for Retail Order Periods Comments due: October 23, 2013 Submit comments on SR-MSRB-2013-05
34-69834	Jun. 24, 2013	Notice of Filing of a Proposed Rule Change to Amend MSRB Rules G-8, G-11 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods Comments due: July 19, 2013 Additional Materials:  Exhibit 5 Comments received are available for this proposal. Submit comments on SR-MSRB-2013-05
SR-MSRB-2013-04
34-71598	Feb. 21, 2014	Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities Comments due: 21 days after publication in the Federal Register Submit comments on SR-MSRB-2013-04
34-71144	Dec. 19, 2013	Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
34-70531	Sep. 26, 2013	Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
34-69835	Jun. 24, 2013	Notice of Filing of a Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities Comments due: July 19, 2013 Additional Materials:  Exhibit 2, Exhibit 3, Exhibit 5 Comments received are available for this proposal.
SR-MSRB-2013-03
34-69086	Mar. 8, 2013	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to MSRB Form RTRS Comments due: April 4, 2013 Additional Materials:  Exhibit 3
SR-MSRB-2013-02
34-69635	May 24, 2013	Order Approving a Proposed Rule Change to Amend MSRB Rule G-39, on Telemarketing
34-68987	Feb. 26, 2013	Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rule G-39, on Telemarketing Comments due: March 25, 2013
SR-MSRB-2013-01
34-69249	Mar. 28, 2013	Order Granting Approval of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37
34-68872	Feb. 8, 2013	Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37 Comments due: March 7, 2013 Additional Materials:  Exhibit 2, Exhibit 3, Exhibit 5 Comments received are available for this proposal.

http://www.sec.gov/rules/sro/msrb/msrbarchive/msrbarchive2013.shtml