MSRB Rulemaking Archive: 2017
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
MSRB File Number List for 2017
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Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-MSRB-2017-06 | ||
| 34-82321 | Dec. 14, 2017 | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements
See also: Notice: Rel. No. 34-82053, Notice: Rel. No. 34-81595 |
| SR-MSRB-2017-08 | ||
| 34-82238 | Dec. 8, 2017 | Order Granting Approval of a Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act
See also: Notice: Rel. No. 34-81921 |
| SR-MSRB-2017-06 | ||
| 34-82053 | Nov. 13, 2017 | Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements
Comments due: December 1, 2017 Additional Materials: Exhibit 4, Exhibit 5 See also: Order Release No. 34-82321; Notice: Rel. No. 34-81595 |
| SR-MSRB-2017-08 | ||
| 34-81921 | Oct. 23, 2017 | Notice of Filing of a Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act
Comments due: November 17, 2017 Additional Materials: Exhibit 3 See also: Order: Rel. No. 34-82238 Comments received are available for this proposal. |
| SR-MSRB-2017-07 | ||
| 34-81841 | Oct. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee
Comments due: November 6, 2017 Additional Materials: Exhibit 5 |
| 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 See also: Order Release No. 34-82321; Notice: Rel. No. 34-82053 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 |
| 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-2017-08 | ||
| 34-82238 | Dec. 8, 2017 | Order Granting Approval of a Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act |
| 34-81921 | Oct. 23, 2017 | Notice of Filing of a Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act
Comments due: November 17, 2017 Additional Materials: Exhibit 3 Comments received are available for this proposal. |
| SR-MSRB-2017-07 | ||
| 34-81841 | Oct. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee
Comments due: November 6, 2017 Additional Materials: Exhibit 5 |
| SR-MSRB-2017-06 | ||
| 34-82321 | Dec. 14, 2017 | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements |
| 34-82053 | Nov. 13, 2017 | Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements
Comments due: December 1, 2017 Additional Materials: Exhibit 4, Exhibit 5 |
| 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 Comments received are available for this proposal. |
| 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. |