MSRB Rulemaking Archive: 2019
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 2019
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Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-MSRB-2019-13 | ||
| 34-87583 | Nov. 21, 2019 | Notice of Filing of a Proposed Rule Change to Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA®) System
Comments due: December 18, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-MSRB-2019-10 | ||
| 34-87478 | Nov. 6, 2019 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities
Comments due: December 4, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-MSRB-2019-12 | ||
| 34-87423 | Oct. 30, 2019 | Notice of Filing and Immediate Effectiveness of Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination
Comments due: November 26, 2019 Additional Materials: Exhibit 3a |
| SR-MSRB-2019-10 | ||
| 34-87255 | Oct. 8, 2019 | Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities
Comments due: October 29, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| Third Quarter | ||
| SR-MSRB-2019-11 | ||
| 34-87075 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Increase the Annual Professional Fee Over a Two-Year Phase-In Period
Comments due: October 21, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-MSRB-2019-10 | ||
| 34-86572 | Aug. 5, 2019 | Notice of Filing of a Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities
Comments due: August 30, 2019 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-MSRB-2019-07 | ||
| 34-86219 | Jun. 27, 2019 | 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-11 and MSRB Rule G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings
Comments due: July 24, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-MSRB-2019-09 | ||
| 34-85752 | Apr. 30, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate MSRB Rule G-29, on Availability of Board Rules
Comments due: May 28, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-08 | ||
| 34-85699 | Apr. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant
Comments due: May 17, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-07 | ||
| 34-85551 | Apr. 8, 2019 | Notice of Filing of a Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings
Comments due: May 3, 2019 Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| First Quarter | ||
| SR-MSRB-2019-06 | ||
| 34-85400 | Mar. 22, 2019 | 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: April 18, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-05 | ||
| 34-85223 | Feb. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records
Comments due: March 27, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-04 | ||
| 34-85222 | Feb. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules
Comments due: March 27, 2019 Additional Materials: Exhibit 2, Exhibit 5 |
| SR-MSRB-2019-03 | ||
| 34-85206 | Feb. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Short-Term Obligation Rate Transparency (SHORT) System to Modernize and Consolidate the Information Facility for the SHORT System
Comments due: March 26, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-MSRB-2019-02 | ||
| 34-85135 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-01 | ||
| 34-84999 | Jan. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40
Comments due: February 25, 2019 |
MSRB File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-MSRB-2019-13 | ||
| 34-88225 | Feb. 18, 2020 | Order Granting Approval of a Proposed Rule Change to Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System |
| 34-87583 | Nov. 21, 2019 | Notice of Filing of a Proposed Rule Change to Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA®) System
Comments due: December 18, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-MSRB-2019-12 | ||
| 34-87423 | Oct. 30, 2019 | Notice of Filing and Immediate Effectiveness of Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination
Comments due: November 26, 2019 Additional Materials: Exhibit 3a |
| SR-MSRB-2019-11 | ||
| 34-87075 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Increase the Annual Professional Fee Over a Two-Year Phase-In Period
Comments due: October 21, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-MSRB-2019-10 | ||
| 34-87478 | Nov. 6, 2019 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities
Comments due: December 4, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| 34-87255 | Oct. 8, 2019 | Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities
Comments due: October 29, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| 34-86572 | Aug. 5, 2019 | Notice of Filing of a Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities
Comments due: August 30, 2019 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |
| SR-MSRB-2019-09 | ||
| 34-85752 | Apr. 30, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate MSRB Rule G-29, on Availability of Board Rules
Comments due: May 28, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-08 | ||
| 34-85699 | Apr. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant
Comments due: May 17, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-07 | ||
| 34-86219 | Jun. 27, 2019 | 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-11 and MSRB Rule G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings
Comments due: July 24, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| 34-85551 | Apr. 8, 2019 | Notice of Filing of a Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings
Comments due: May 3, 2019 Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-MSRB-2019-06 | ||
| 34-85400 | Mar. 22, 2019 | 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: April 18, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-05 | ||
| 34-85223 | Feb. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records
Comments due: March 27, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-04 | ||
| 34-85222 | Feb. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules
Comments due: March 27, 2019 Additional Materials: Exhibit 2, Exhibit 5 |
| SR-MSRB-2019-03 | ||
| 34-85206 | Feb. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Short-Term Obligation Rate Transparency (SHORT) System to Modernize and Consolidate the Information Facility for the SHORT System
Comments due: March 26, 2019 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-MSRB-2019-02 | ||
| 34-85135 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-MSRB-2019-01 | ||
| 34-84999 | Jan. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40
Comments due: February 25, 2019 |