Notices

MSRB Notices

Types of notices include approval notices, concept proposals, informational notices, interpretive guidance, market advisories, regulatory reminders and requests for comment. 


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Title Stakeholders Publication Date Notice Number Rule Number Notice Type
Reminder of Appropriate Transaction Reporting Procedures for Transactions Effected by Dealers Using Clearing Brokers 1/09/2001 2001-01 Rule G-8 , Rule G-14 , Rule G-15 Informational Notice
Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission 1/19/2001 2001-02 Rule A-13 , Rule D-12 , Rule G-3 , Rule G-8 , Rule G-14 , Rule G-15 , Rule G-26 , Rule G-32 , Rule G-34 Informational Notice
Approval of Amendments to Rule G-38, on Consultants, Rule G-8, on Books and Records, and Revisions to Section IV of Form G-37/G-38 and the Attachment Page to the Form 1/30/2001 2001-03 Rule G-8 , Rule G-38 Informational Notice
Self-Monitoring of Rule G-14 Compliance 2/01/2001 2001-04 Rule G-14 Informational Notice
Recommendations Requested for Board Nominations 2/02/2001 2001-05 Informational Notice
Release of Monthly Statistical Summaries of Transactions in the Municipal Securities Market 2/13/2001 2001-06 Informational Notice
Notice Concerning Locked-In Transactions 3/01/2001 2001-07 Rule G-12 , Rule G-14 Informational Notice
MSRB Outreach Meeting 3/16/2001 2001-09 Informational Notice
MSRB Review of Rule G-37, on Political Contributions 4/09/2001 2001-14 Rule G-37 Informational Notice
MSRB’s New Address and Phone Number as of May 7, 2001 4/23/2001 2001-15 Informational Notice
Revised Forms Containing MSRB’s New Address 4/30/2001 2001-16 Informational Notice
Question and Answer Notice: Rules G-37 and G-38 6/06/2001 2001-20 Rule G-37 , Rule G-38 Informational Notice
Electronic Submission of Official Statements, Advance Refunding Documents and Forms G-36(OS) and G-36(ARD) to the MSRB 6/11/2001 2001-21 Informational Notice
In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement 6/13/2001 2001-22 Rule G-3 , Rule G-8 , Rule G-9 , Rule G-27 Informational Notice
Notice Concerning Flat Transaction Fees 6/13/2001 2001-23 Rule G-15 Informational Notice
Municipal Fund Securities – Qualification of Municipal Securities Principals and Application of MSRB Rules to Fees, Disclosure and Other Market Practices 7/05/2001 2001-24 Rule G-3 Informational Notice
Dissemination of Official Statements and Advance Refunding Documents By Issuers and Dealers from 1998 to 2000 7/11/2001 2001-26 Rule G-32 Informational Notice
The MSRB and The Muni Council Announce a Long-Range Planning Session on the Municipal Securities Market Disclosure System 7/25/2001 2001-27 Informational Notice
MSRB and TBMA to Hold Compliance Seminar 9/26/2001 2001-28 Informational Notice
SEC Approval of In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement 8/08/2001 2001-29 Informational Notice
SEC Approval of Electronic Submission System Under Rule G-36 8/08/2001 2001-30 Informational Notice
Public Reporting of Transaction In Municipal Securities: Rule G-14 8/17/2001 2001-31 Rule G-14 Informational Notice
Board Elects Officers 9/10/2001 2001-32 Informational Notice
Municipal Market Activity - Tuesday, September 11 - Thursday, September 13, 2001 9/13/2001 2001-33 Informational Notice
Municipal Market Activity - Thursday, September 13, 2001 9/14/2001 2001-34 Informational Notice
Municipal Market Activity - Dealer - Dealer Trading (September 11-13, 2001) 9/14/2001 2001-35 Informational Notice
MSRB and TBMA to Hold Compliance Seminar on November 13, 2001 9/26/2001 2001-36 Informational Notice
Public Reporting of Transactions in Municipal Securities: Rule G-14 10/04/2001 2001-37 Rule G-14 Informational Notice
Daily Comprehensive Report Will Be Available Beginning on November 1, 2001 10/15/2001 2001-38 Informational Notice
Proposed Rule Change Concerning Minimum Denominations Filed with the Securities and Exchange Commission 10/16/2001 2001-39 Rule G-8 , Rule G-15 , Rule G-17 Informational Notice
MSRB Begins Production of Daily Comprehensive Report 11/01/2001 2001-40 Informational Notice
Proposed Rule Change Filed Concerning Official Communications 11/06/2001 2001-41 Rule G-8 , Rule G-15 Informational Notice
Activities by Dealers and Municipal Finance Professionals During Transition Periods for Elected Issuer Officials 11/21/2001 2001-42 Rule G-37 Informational Notice
MSRB Interpretive Letter - Rules G-21, G-30 and G-32 12/11/2001 2001-43 Rule G-30 Interpretive Letter
Amendments to Rule A-4, on Meetings of the Board 12/13/2001 2001-44 Rule A-4 Informational Notice
The Application of Rules G-32 and G-36 to New Issue Offerings Through Auction Procedures 3/26/2001 2001-10 Rule G-32 Interpretive Notice
MSRB Board Elects Officers 9/10/2001 Informational Notice
Request for Comments on Minimum Denominations
> Any available comments may be viewed here.
3/14/2001 2001-08 Rule G-15 Request for Comment
Request for Comments on Official Communications
> Any available comments may be viewed here.
3/28/2001 2001-13 Rule G-15 Request for Comment
Request for Comments on Real-Time Reporting of Municipal Securities Transactions
> Any available comments may be viewed here.
5/29/2001 2001-17 Request for Comment
MSRB Review of Rule G-37
> Any available comments may be viewed here.
6/04/2001 2001-19 Rule G-37 Request for Comment
Notice and Draft Interpretive Guidance on Rule G-17—Disclosure of Material Facts and Interpretive Guidance Concerning Sophisticated Municipal Market Professionals
> Any available comments may be viewed here.
7/06/2001 2001-25 Rule G-13 , Rule G-17 , Rule G-18 , Rule G-19 Request for Comment
Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements
> Any available comments may be viewed here.
12/19/2001 2001-45 Rule G-3 , Rule G-37 Request for Comment