Municipal Securities Rulemaking Board (MSRB) Rulemaking
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Self-Regulatory Organization Rulemaking Table
File Number
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SRO Organization
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Details
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Release Number:34-96840 | SEC Issue Date:Feb 8, 2023 | File Number:SR-MSRB-2023-01 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records Comments Due: March 7, 2023 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-MSRB-2023-01
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Release Number:34-96516 | SEC Issue Date:Dec 16, 2022 | File Number:SR-MSRB-2022-10 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes Comments Due: January 12, 2023 See Also - Exhibit 3, Exhibit 5 |
Release Number:34-96348 | SEC Issue Date:Nov 17, 2022 | File Number:SR-MSRB-2022-09 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule G-3, on Professional Qualification Requirements, To Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease Comments Due: December 14, 2022 See Also - Exhibit 5 |
Release Number:34-96346 | SEC Issue Date:Nov 17, 2022 | File Number:SR-MSRB-2022-08 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-27, on Supervision, To Further Extend the Current Regulatory Relief for Remote Office Inspections Through June 30, 2023 Comments Due: December 14, 2022 See Also - Exhibit 5 |
Release Number:34-95684 | SEC Issue Date:Sep 7, 2022 | File Number:SR-MSRB-2022-07 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule G-3 Continuing Education Program Requirements To Harmonize With Industry-Wide Transformation Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 2, Exhibit 5 |
Release Number:34-95602 | SEC Issue Date:Aug 25, 2022 | File Number:SR-MSRB-2022-05 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices |
Release Number:34-95417 | SEC Issue Date:Aug 3, 2022 | File Number:SR-MSRB-2022-06 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 3a, Exhibit 3b, Exhibit 5 |
Release Number:34-95380 | SEC Issue Date:Jul 28, 2022 | File Number:SR-MSRB-2022-03 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Withdrawal of Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 |
Release Number:34-95208 | SEC Issue Date:Jul 7, 2022 | File Number:SR-MSRB-2022-05 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 To Better Align the CUSIP Requirements for Underwriters and Municipal Advisors With Current Market Practices Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 5 |
Release Number:34-95145 | SEC Issue Date:Jun 23, 2022 | File Number:SR-MSRB-2022-02 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals |