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
Municipal Fund Securities Limited Principals (Series 51) and E-Mail Contacts under Rule G-40 1/09/2003 2003-01 Rule G-3 Regulatory Announcement
Recommendations Requested for Board Nominations 1/24/2003 2003-02 Regulatory Announcement
Plans for MSRB's Real-Time Transaction Reporting System 2/03/2003 2003-03 Rule G-14 Regulatory Announcement
Statement of the MSRB on Market Emergency Filing 2/07/2003 2003-04 Regulatory Announcement
Real-Time Transaction Reporting: Joint Seminar Announcement 2/26/2003 2003-05 Regulatory Announcement
Reminder: To Supervise Municipal Fund Securities Activities, a Municipal Fund Securities Limited Principal (Series 51) or Municipal Securities Principal (Series 53) Qualification is Required by April 1, 2003 2/28/2003 2003-06 Rule G-3 Regulatory Announcement
Reminder Regarding MSRB Rule G-14 Transaction Reporting Requirements 3/03/2003 2003-07 Rule G-12 , Rule G-14 Regulatory Announcement
Financial Statements—Fiscal Years Ended September 30, 2002 and 2001 3/04/2003 2003-08 Regulatory Announcement
SEC Approves Amendment to Rule G-28 on Sales to Employees of Other Dealers 3/04/2003 2003-09 Rule G-28 Regulatory Announcement
Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x 3/21/2003 2003-10 Rule G-8 , Rule G-37 , Rule G-38 Regulatory Announcement
Amendment Filed to Rule G-37 Rule Change Pending at SEC 3/26/2003 2003-11 Rule G-8 , Rule G-37 Regulatory Announcement
Proposed Rule Change Concerning T+1 Public Reporting of Transactions in Municipal Securities 4/07/2003 2003-12 Regulatory Announcement
Operational Overview of MSRB's Real-Time Transaction Reporting System 4/07/2003 2003-13 Regulatory Announcement
A Message From GASB Chairman Tom Allen Regarding a Proposed GASB Technical Bulletin, Disclosure Requirements for Derivatives Not Presented at Fair Value on the Statements of Net Assets 4/17/2003 2003-14 Regulatory Announcement
SEC Approves Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x 4/30/2003 2003-16 Regulatory Announcement
SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional 5/12/2003 2003-17 Rule G-8 , Rule G-37 Regulatory Announcement
Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14 5/21/2003 2003-18 Rule G-14 Regulatory Announcement
Proposed Rule Change to Adopt New Rule G-41, on Anti-Money Laundering Compliance 5/22/2003 2003-19 Rule G-41 Regulatory Announcement
Notice on Reporting and Comparison of Certain Transactions Effected by Investment Advisors: Rules G-12(f) and G-14 5/23/2003 2003-20 Rule G-12 , Rule G-14 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar 5/27/2003 2003-21 Regulatory Announcement
Reminder Regarding Testing Changes to Current Transaction Reporting System 6/09/2003 2003-22 Regulatory Announcement
Specifications for Real-time Reporting of Municipal Securities Transactions 6/13/2003 2003-24 Regulatory Announcement
Electronic G-37 Submission System (eG-37 System) Becomes Operational 6/30/2003 2003-25 Rule G-37 , Rule G-38 Regulatory Announcement
Notice of Technical Amendments to Form G-40, on E-Mail Contacts 7/01/2003 2003-26 Regulatory Announcement
Proposed Rule Change to Amend Rule A-14, on Annual Fees 7/03/2003 2003-27 Regulatory Announcement
Approval by SEC of Rule G-41, on Anti-Money Laundering Compliance 7/16/2003 2003-28 Rule G-41 Regulatory Announcement
Reminder Notice Concerning Automated Comparison of Cash and Next-Day Trades: Rule G-12(f) 7/25/2003 2003-29 Rule G-12 Regulatory Announcement
Dealer Feedback System: T+2 Inter-dealer Transaction Report 7/31/2003 2003-30 Rule G-14 Regulatory Announcement
Revised Form G-40, on E-Mail Contacts 8/04/2003 2003-31 Rule G-3 Regulatory Announcement
Notice Concerning Indirect Rule Violations: Rules G-37 and G-38 8/06/2003 2003-32 Rule G-37 , Rule G-38 Regulatory Announcement
529 College Savings Plans - MSRB Market Outreach & Education Series 8/15/2003 2003-33 Regulatory Announcement
Proposed Rule Change Approved to Amend Rule A-14, on Annual Fees 8/18/2003 2003-34 Regulatory Announcement
Amendments Filed Regarding the National Do-Not-Call Registry 8/19/2003 2003-35 Rule G-8 , Rule G-39 Regulatory Announcement
Questions and Answers Regarding Real-Time Transaction Reporting 8/21/2003 2003-36 Regulatory Announcement
Withdrawal of Market Emergencies Rule Filing 8/28/2003 2003-37 Regulatory Announcement
529 College Savings Plans – MSRB Market Outreach & Education Series 9/08/2003 2003-38 Regulatory Announcement
Revised Specifications for the Real-Time Transaction Reporting System 9/23/2003 2003-39 Regulatory Announcement
Final Agenda for MSRB Forum on the 529 College Savings Plan Market 10/17/2003 2003-40 Regulatory Announcement
Technical Revisions and Reorganization of Rule G-37 Qs & As 10/30/2003 2003-41 Rule G-8 , Rule G-9 , Rule G-37 Regulatory Announcement
529 College Savings Plans – MSRB Market Outreach & Education Series 11/04/2003 2003-42 Regulatory Announcement
Transaction Reporting of Multiple Transactions Between Dealers in the Same Issue: Rules G-12 (f) and G-14 11/24/2003 2003-43 Rule G-12 , Rule G-14 Regulatory Announcement
Real-Time Transaction Reporting: Revised Schedule and Operational Plan 12/11/2003 2003-44 Regulatory Announcement
Request for Comment: Plan for Real –Time Price Reporting
> Any available comments may be viewed here.
6/13/2003 2003-23 Rule G-14 Request for Comment