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
Recommendations Requested for Board Nominations 1/15/2004 2004-01 Regulatory Announcement
Recommendation Form 1/15/2004 2004-01b Regulatory Announcement
Terms of Present Board Members 1/15/2004 2004-01a Regulatory Announcement
Revised Specifications For the Real-Time Transaction Reporting System, Version 1.2 1/23/2004 2004-02 Regulatory Announcement
Review of Dealer Pricing Responsibilities 1/26/2004 2004-03 Rule G-18 , Rule G-30 Regulatory Announcement
MSRB Publishes Glossary of Municipal Securities Terms, Second Edition 1/29/2004 2004-04 Regulatory Announcement
Amendments Approved Regarding the National Do-Not-Call Registry 2/02/2004 2004-05 Rule G-8 , Rule G-39 Regulatory Announcement
Reminder Regarding Accuracy of Information Submitted to the MSRB Transaction Reporting System: Rule G-14 2/10/2004 2004-06 Rule G-14 Regulatory Announcement
Financial Statements-Fiscal Years Ended September 30, 2003 and 2002 2/13/2004 2004-07 Regulatory Announcement
Additional Questions and Answers: Rules G-37 and G-38 2/25/2004 2004-08 Rule G-37 , Rule G-38 Regulatory Announcement
Notice on Deliveries of Step Out Transactions Through the Automated Comparison System 3/03/2004 2004-09 Rule G-14 Regulatory Announcement
MSRB and TBMA Hold Compliance Seminar on May 1, 2004 in Chicago, IL 3/22/2004 2004-10 Regulatory Announcement
Real-Time Transaction Reporting: Notice of Filing of Proposed Rule Change to Rules G-14 and G-12(f) 6/01/2004 2004-13 Rule G-12 , Rule G-14 Regulatory Announcement
Notice on Certain Inter-Dealer Transfers of Municipal Securities: Rules G-12(f) and G-14 6/04/2004 2004-14 Rule G-12 , Rule G-14 Regulatory Announcement
Reminder Notice Concerning RTTM Implementation Date and Requirement for Comparison of Cash and Next-Day Trades: Rule G-12(f) 6/04/2004 2004-15 Rule G-12 Regulatory Announcement
Rule G-14: Reporting of Transactions Arising from Repurchase Agreements 6/18/2004 2004-19 Rule G-14 Regulatory Announcement
Real-Time Transaction Reporting: Summary of Certification Test Plan 6/24/2004 2004-20 Rule G-12 , Rule G-14 Regulatory Announcement
MSRB Will Make Form RTRS Available On-Line 6/24/2004 2004-21 Regulatory Announcement
REAL-TIME TRANSACTION REPORTING: RTRS CERTIFICATION TESTING PLAN 6/24/2004 2004-21a Regulatory Announcement
MSRB Publishes File Specifications for Upcoming XML Interface to the Electronic OS/ARD Submission System of the Municipal Securities Information Library® 6/25/2004 2004-22 Regulatory Announcement
XML Interface to the Electronic OS/ARD Submission System of the Municipal Securities Information Library® Becomes Operational 7/28/2004 2004-23 Regulatory Announcement
Real-Time Transaction Reporting: Summary of Revised Certification Test Plan 7/28/2004 2004-24 Rule G-12 , Rule G-14 Regulatory Announcement
Real-Time Transaction Reporting: Revised RTRS Certification Test Plan 7/28/2004 2004-24a Rule G-12 , Rule G-14 Regulatory Announcement
Withdrawal of Filing on Marketing of 529 College Savings Plans in the Workplace 8/02/2004 2004-25 Regulatory Announcement
Notice of Technical Amendments to Rule G-3, on Professional Qualifications 8/03/2004 2004-26 Rule G-3 Regulatory Announcement
Amendments Filed to Remove Exemptions from Regulatory Element of Continuing Education Program 8/05/2004 2004-27 Rule G-3 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar 8/26/2004 2004-28 Regulatory Announcement
Approval By the SEC of Real-Time Transaction Reporting and Price Dissemination: Rules G-12(f) and G-14 9/02/2004 2004-29 Rule G-12 , Rule G-14 Regulatory Announcement
Notice of Proposed Rule Change to Offer New Historical Data Product 9/15/2004 2004-30 Regulatory Announcement
Notice on Automated Comparison and Transaction Reporting of Certain Inter-Dealer Transactions in When-Issued Municipal Securities: Rules G-12(f) and G-14 9/28/2004 2004-31 Rule G-12 , Rule G-14 Regulatory Announcement
Correction to MSRB Notice 2004-32 Requesting Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business 10/12/2004 2004-33 Rule G-37 , Rule G-38 Regulatory Announcement
Amendments Approved to Remove Exemptions from Regulatory Element of Continuing Education Program 10/25/2004 2004-34 Rule G-3 Regulatory Announcement
Notice of Filing of Proposal to Create the Real-Time Transaction Price Service and Establish an Annual Subscription Fee 10/26/2004 2004-35 Regulatory Announcement
Notice of Filing of Implementation Plan for Real-Time Transaction Reporting System 11/17/2004 2004-36 Rule G-12 , Rule G-14 Regulatory Announcement
Reminder of December 15 Deadline for Testing Real-Time Trade Reporting Capabilities 11/17/2004 2004-37 Rule G-12 , Rule G-14 Regulatory Announcement
Notice of Filing of Proposed Rule Change to Rule G-34 to Facilitate Real-Time Transaction Reporting 11/22/2004 2004-38 Rule G-14 , Rule G-34 Regulatory Announcement
SEC Approves New Historical Data Product 11/23/2004 2004-39 Regulatory Announcement
Reminder Notice on "List Offering Price" AND THREE-HOUR EXCEPTION for Real-time Transaction Reporting: Rule G-14 12/10/2004 2004-40 Rule G-14 Regulatory Announcement
SEC Approves Proposal to Create the Real-Time Transaction Price Service and Establish an Annual Subscription Fee 12/10/2004 2004-41 Regulatory Announcement
Notice of Filing of Amendments Relating to Advertisements of Municipal Fund Securities 12/16/2004 2004-42 Rule G-17 , Rule G-21 Regulatory Announcement
Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business
> Any available comments may be viewed here.
4/05/2004 2004-11 Rule G-8 , Rule G-9 , Rule G-37 , Rule G-38 Request for Comment
Request for Comments on Draft Amendments Relating to Official Statement Delivery Requirements Under Rule G-32 and Rule G-36
> Any available comments may be viewed here.
5/12/2004 2004-12 Rule G-32 Request for Comment
Request for Comments on Draft Amendments Relating to Advertisements of Municipal Fund Securities and Draft Interpretive Guidance on Disclosures in Connection with Out-of-State Sales of College Savings Plan Shares
> Any available comments may be viewed here.
6/10/2004 2004-16 Rule G-17 , Rule G-21 Request for Comment
Request for Comments on Draft Amendments to Rules G-20 and G-8 Relating to Gifts, Gratuities and Non-Cash Compensation in Municipal Debt Offerings and Sales of Municipal Fund Securities
> Any available comments may be viewed here.
6/15/2004 2004-17 Rule G-8 , Rule G-20 Request for Comment
Notice Requesting Comment on Draft Amendments to Rule G-34 to Facilitate Real-Time Transaction Reporting and Explaining Time of Trade for Reporting New Issue Trades
> Any available comments may be viewed here.
6/18/2004 2004-18 Rule G-34 Request for Comment
Request for Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business (as modified on October 12, 2004)
> Any available comments may be viewed here.
9/29/2004 2004-32 Rule G-8 , Rule G-37 , Rule G-38 Request for Comment
Request for Comments on Draft Amendment Relating to Performance Data in Advertisements of Municipal Fund Securities
> Any available comments may be viewed here.
12/16/2004 2004-43 Rule G-21 Request for Comment