Notices

Regulatory Notices

MSRB regulatory notices keep market participants informed of regulatory changes and provide guidance on the application of existing rules.

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Title Stakeholders Publication Date Notice Number Rule Number Notice Type
Electronic OS/ARD Submission System (e-OS System) Becomes Operational 1/02/2002 2002-01 Regulatory Announcement
The Application of Board Rules to Transactions with Sophisticated Municipal Market Professionals 1/25/2002 2002-02 Rule G-17 Regulatory Announcement
Interpretive Notice Filed Regarding Rule G-17, on Disclosure of Material Facts 1/25/2002 2002-03 Rule G-17 Regulatory Announcement
Recommendations Requested for Board Nominations 1/31/2002 2002-04 Regulatory Announcement
Approval of Amendments Concerning Minimum Denominations 1/31/2002 2002-05 Rule G-8 , Rule G-15 , Rule G-17 Regulatory Announcement
Forum on Disclosure for Long-Term Care/Senior Living Debt 3/08/2002 2002-06 Regulatory Announcement
Municipal Fund Securities -- Notice of filing of proposed rule change relating to professional qualification of municipal fund securities limited principals 3/21/2002 2002-07 Rule G-3 Regulatory Announcement
Forum on Disclosure for Long-Term Care/Senior Living Debt 3/22/2002 2002-08 Regulatory Announcement
Approval of Amendments Concerning Official Communications 3/25/2002 2002-09 Rule G-8 , Rule G-15 Regulatory Announcement
Interpretive Notice Regarding Rule G-17, on Disclosure of Material Facts 3/25/2002 2002-10 Rule G-17 Regulatory Announcement
Proposed Rule Change Concerning Public Reporting of Transaction in Frequently-Traded Municipal Securities: Rule G-14 3/27/2002 2002-11 Rule G-14 Regulatory Announcement
Rule G-14 Reporting Performance 4/19/2002 2002-13 Rule G-14 Regulatory Announcement
Notice of Proposed Rule Change to Create New Rule G-40 and Form G-40 on Electronic Mail Contacts 4/30/2002 2002-14 Rule G-8 , Rule G-9 Regulatory Announcement
REMINDER: Proposed Rule G-40 Not Yet Approved by SEC 5/06/2002 2002-15 Regulatory Announcement
Interpretive Notice Regarding the Application of MSRB Rules to Transactions with Sophisticated Municipal Market Professionals 5/06/2002 2002-16 Rule G-13 , Rule G-17 , Rule G-18 , Rule G-19 Regulatory Announcement
Change in Definition of Frequently-Traded Municipal Securities: Rule G-14 5/10/2002 2002-17 Rule G-14 Regulatory Announcement
SEC Approval of Municipal Fund Securities Limited Principal Professional Qualification Category and Related Amendments to MSRB Rule G-3 5/13/2002 2002-18 Rule G-3 Regulatory Announcement
Application of Fair Practice and Advertising Rules to Municipal Fund Securities 5/14/2002 2002-19 Rule G-17 , Rule G-19 , Rule G-21 , Rule G-30 Regulatory Announcement
Reminder of Effective Date of Rule G-15 Amendment Concerning Minimum Denominations 5/15/2002 2002-20 Rule G-15 , Rule G-17 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar on October 10, 2002 5/29/2002 2002-21 Regulatory Announcement
SEC Approves New Rule G-40 and Form G-40 on Electronic Mail Contacts 6/12/2002 2002-22 Rule G-8 , Rule G-9 Regulatory Announcement
Notice of Proposed Amendment to Rule G-32 on Sending Disclosure Documents to Customers Sharing the Same Address 6/21/2002 2002-23 Rule G-8 , Rule G-9 , Rule G-32 Regulatory Announcement
Proposed Rule Change Concerning Public Reporting of Transactions in Municipal Securities: Rule G-14 7/03/2002 2002-24 Regulatory Announcement
Registration for MSRB/TBMA Compliance Seminar 7/10/2002 2002-25 Regulatory Announcement
Notice of Amendment to Rule G-40 and Form G-40, on E-mail Contacts 8/07/2002 2002-26 Regulatory Announcement
SEC Approved Amendment to Rule G-32 Relating to Disclosures in Connection with New Issues 8/13/2002 2002-27 Rule G-8 , Rule G-9 , Rule G-32 Regulatory Announcement
SEC Approval of Change to Public Report of Transactions in Municipal Securities: Rule G-14 8/30/2002 2002-28 Rule G-14 Regulatory Announcement
Proposed Rule Change Concerning Public Reporting of Transactions in Frequently-Traded Municipal Securities: Rule G-14 9/24/2002 2002-29 Rule G-14 Regulatory Announcement
Notice Regarding Application of Rule G-19, on Suitability of Recommendations and Transactions, to online Communications 9/25/2002 2002-30 Rule G-19 Regulatory Announcement
Amendments Filed to Rule G-37 Concerning the Exemption Process and the Definition of Municipal Finance Professional 9/26/2002 2002-31 Rule G-37 Regulatory Announcement
Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period 9/30/2002 2002-32 Rule G-3 Regulatory Announcement
SEC Approves Amendment to Rule G-35 to Discontinue MSRB Arbitration Program 10/22/2002 2002-33 Rule A-16 , Rule G-35 Regulatory Announcement
Draft Interpretive Notice on Marketing of 529 College Savings Plan Employee Payroll Deduction Programs 11/18/2002 2002-34 Rule G-17 , Rule G-19 , Rule G-27 , Rule G-32 Regulatory Announcement
Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14 11/22/2002 2002-35 Rule G-14 Regulatory Announcement
Proposed Rule Change Concerning Market Emergencies Filed with the Securities and Exchange Commission 12/11/2002 2002-36 Rule A-4 , Rule G-17 Regulatory Announcement
MSRB Introduces Website on Municipal Fund Securities 12/17/2002 2002-37 Regulatory Announcement
Notice of Proposed Amendment to Rule G-28 on Sales to Employees of Other Dealers 12/20/2002 2002-38 Rule G-28 Regulatory Announcement
Municipal Fund Securities Limited Principal Examination (Series 51) Available on January 2, 2003 12/20/2002 2002-39 Regulatory Announcement
Recommendations Requested for Board Nominations 1/31/2002 2002-04b Regulatory Announcement
Recommendations Requested for Board Nominations 1/31/2002 2002-04c Regulatory Announcement
Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions
> Any available comments may be viewed here.
4/02/2002 2002-12 Rule G-37 Request for Comment