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
Disclosure Of Material Facts--Disclosure Of Original Issue Discount Bonds 1/05/2005 2005-01 Rule G-17 Interpretive Notice
Real-Time Transaction Reporting: Rule G-14 1/10/2005 2005-02 Rule G-14 Regulatory Announcement
Amendments Approved to Rule G-34 to Facilitate Real-Time Transaction Reporting 1/12/2005 2005-03 Rule G-34 Regulatory Announcement
RTRS Error Feedback 1/12/2005 2005-04 Rule G-12 , Rule G-14 Regulatory Announcement
Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Recordkeeping 1/13/2005 2005-05 Rule G-8 , Rule G-20 Regulatory Announcement
Recommendations Requested for Board Nominations 1/25/2005 2005-07 Regulatory Announcement
Questions and Answers Regarding the Real-Time Transaction Reporting System (RTRS): Trade Submission, Error Feedback, RTRS Web, and Contacting the MSRB by Phone 1/26/2005 2005-08 Rule G-14 Regulatory Announcement
A First for Investors: Real-Time Muni Bond Prices MSRB and BMA Partner to Make New Trading Data Available for Free 1/31/2005 2005-09 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar on May 25, 2005 in Chicago, IL 2/02/2005 2005-10 Regulatory Announcement
RTRS Web Educational Conference Calls 2/28/2005 2005-12 Regulatory Announcement
Reminder Regarding Modification and Cancellation Of Transaction Reports: Rule G-14 3/02/2005 2005-13 Rule G-14 Regulatory Announcement
Amendment to Rule G-41, on Anti-Money Laundering Compliance 3/04/2005 2005-14 Rule G-41 Regulatory Announcement
MSRB Files Comment Letter on SEC Concept Release 3/08/2005 2005-15 Rule G-37 Regulatory Announcement
Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission 3/15/2005 2005-16 Rule G-8 , Rule G-37 , Rule G-38 , Rule G-38 Regulatory Announcement
MSRB Files Proposed Amendments to Rule G-38 with SEC 3/17/2005 2005-17 Rule G-38 , Rule G-38 Regulatory Announcement
Notice of Filing of Amendment to Rule G-8, on Recordkeeping, to Add Requirements for Predispute Arbitration Agreements with Customers, Effective May 1, 2005 3/21/2005 2005-18 Rule A-11 , Rule G-8 Regulatory Announcement
Real-Time Compliance Data Reports are Available 3/22/2005 2005-19 Rule G-14 Regulatory Announcement
Amendment Relating to Frequency of Updates from the National Do-Not-Call Registry Pursuant to Rule G-39 3/23/2005 2005-20 Rule G-39 Regulatory Announcement
Amendment No. 1 Filed to Proposal to Add Requirements for Predispute Arbitration Agreements with Customers 4/01/2005 2005-21 Rule G-8 Regulatory Announcement
Notice on Comparison of Inter-Dealer Deliveries that Do Not Represent Inter-Dealer Transactions - "Step Out" Deliveries: Rules G-12(f) and G-14 4/01/2005 2005-22 Rule G-12 , Rule G-14 Regulatory Announcement
Reminder of Amendments to Remove Exemptions from Regulatory Element of Continuing Education Program 4/22/2005 2005-23 Rule G-3 Regulatory Announcement
Amendment to File No. SR-MSRB-2005-03 Regarding Amendments to Rule G-41, on Anti-Money Laundering Compliance 4/26/2005 2005-24 Rule G-41 Regulatory Announcement
Notice of Filing of Amendment to Rule G-8, on Recordkeeping, Relating to Delivery of Customer Agreements Containing Predispute Arbitration Clauses 5/03/2005 2005-25 Rule G-8 Regulatory Announcement
MSRB to Discontinue "Batch" Customer Transaction Reporting on June 1, 2005 5/17/2005 2005-26 Rule G-14 Regulatory Announcement
RTRS Update and Review of Upcoming Enhancements Seminar 5/18/2005 2005-27 Regulatory Announcement
Financial Statements-Fiscal Years Ended September 30, 2004 and 2003 5/23/2005 2005-29 Regulatory Announcement
Notice of Filing of Proposed Amendments to Rule G-40, on Electronic Mail Contacts, and Form G-40 5/26/2005 2005-30 Regulatory Announcement
SEC Approves Amendments to Rule G-21 Relating to Advertisements of Municipal Fund Securities 5/27/2005 2005-31 Rule G-21 Regulatory Announcement
Notice of Filing of Amendments to Rule G-21 Relating to Month-End Performance Data for Municipal Fund Securities 6/02/2005 2005-32 Rule G-21 Regulatory Announcement
Technical Amendment Filed to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business 6/02/2005 2005-33 Rule G-37 Regulatory Announcement
The Definition of Solicitation Under Rules G-37 and G-38 with the SEC 6/08/2005 2005-34 Rule G-37 , Rule G-38 Regulatory Announcement
RTRS Web Enhancements and New Reports Implemented June 14, 2005 6/13/2005 2005-35 Regulatory Announcement
MSRB Files An Amendment to Rule G-37(C), Concerning Solicitation and Coordination of Payments to Political Parties, And Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations 6/21/2005 2005-36 Rule G-37 Regulatory Announcement
Notice of Filing of Proposed Amendments Relating to Official Statement Delivery Requirements Under Rule G-32, Rule G-36 and Rule G-11 6/23/2005 2005-37 Rule G-11 , Rule G-32 Regulatory Announcement
RTRS Update and Review of Enhancements to RTRS Web - Educational Conference Calls 7/18/2005 2005-38 Regulatory Announcement
Board Elects Officers 7/21/2005 2005-39 Regulatory Announcement
SEC Approves Amendments to Rule G-40, on Email Contacts, and Form G-40 8/08/2005 2005-40 Regulatory Announcement
MSRB Files Amendment to Pending Rule G-38 Proposal Relating to Solicitation of Municipal Securities Business 8/09/2005 2005-41 Rule G-38 , Rule G-38 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar on October 18, 2005 8/11/2005 2005-42 Regulatory Announcement
Rule G-14 Real-Time Transaction Reporting Update 8/17/2005 2005-43 Rule G-14 Regulatory Announcement
SEC Approves Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business 8/18/2005 2005-44 Rule G-8 , Rule G-37 , Rule G-38 Regulatory Announcement
SEC Approves Amendments to Rule G-21 Relating to Month-End Performance Data for Municipal Fund Securities 8/23/2005 2005-45 Rule G-21 Regulatory Announcement
New Rule G-38, on Solicitation of Municipal Securities Business, and New Forms G-37, G-37x and G-38t Become Effective 8/29/2005 2005-46 Rule G-38 Regulatory Announcement
SEC Approves Amendments Relating to Official Statement Delivery Requirements Under Rule G-32, Rule G-36 and Rule G-11 8/30/2005 2005-47 Rule G-11 , Rule G-32 , Rule G-36 Regulatory Announcement
New Advertising Requirements for Municipal Fund Securities Become Effective 9/01/2005 2005-48 Regulatory Announcement
Technical Amendment to Rule A-8(a), on Adoption of Proposed Rules and Submission to Commission 9/12/2005 2005-49 Rule A-8 Regulatory Announcement
SEC Approves Amendments to Rule G-37(c), Concerning Solicitation and Coordination of Payments to Political Parties, and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations 9/26/2005 2005-50 Rule G-37 Regulatory Announcement
Reminder: All Dealers Must Review Their Form G-40 Information, On E-Mail Contacts, By October 26, 2005 10/03/2005 2005-51 Regulatory Announcement
SEC Approves Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Books and Records 10/05/2005 2005-52 Rule G-8 , Rule G-20 Regulatory Announcement
Reminder: New Forms G-37 and G-38t To Be Used in Connection with Submissions Under Rules G-37 and G-38 For Calendar Quarter Ended September 30, 2005 10/11/2005 2005-53 Rule G-37 , Rule G-38 , Rule G-38 Regulatory Announcement
Revised Series 9/10 Examination 10/13/2005 2005-54 Rule G-3 Regulatory Announcement
Procedure for Documenting RTRS and Dealer System Outages 10/17/2005 2005-55 Rule G-14 Regulatory Announcement
RTRS Performance Statistics Reports Available on RTRS Web 11/15/2005 2005-56 Regulatory Announcement
Reminder: New Requirements Relating to Performance Data in Advertisements of 529 College Savings Plans and Other Municipal Funds Securities Become Effective on December 1, 2005 11/30/2005 2005-58 Rule G-21 Regulatory Announcement
MSRB Files Amendment with SEC Relating to Previously Filed Interpretive Notice on the Definition of Solicitation Under Rules G-37 and Rule G-38 12/07/2005 2005-59 Rule G-37 , Rule G-38 Regulatory Announcement
Notice of Filing of Proposed Rule Change Relating to RTRS Procedures, Under Rule G-14 Reports of Sales or Purchases 12/13/2005 2005-60 Rule G-14 Regulatory Announcement
Amendments to Rules A-3(f) and A-6(c), on Board Member Compensation 12/16/2005 2005-61 Rule A-3 , Rule A-6 Regulatory Announcement
SEC Approves Proposed Rule Change to MSRB Rule G-14 RTRS Procedures, Paragraph (a)(ii)(C) To Extend the Expiration Date of the Three-Hour Exception 12/22/2005 2005-62 Rule G-14 Regulatory Announcement
Request for Comments on Revised Draft Amendments Relating to Official Statement Delivery Requirements Under Rule G-32, Rule G-36 and Rule G-11
> Any available comments may be viewed here.
1/21/2005 2005-06 Rule G-11 , Rule G-32 Request for Comment
Request for Comments on Draft Amendments to Rule G-37(c), Relating to Prohibiting Solicitation and Coordination of Payments to Political Parties, and Draft Question and Answer Guidance Concerning Indirect Rule Violations
> Any available comments may be viewed here.
2/15/2005 2005-11 Rule G-37 Request for Comment
Request for Comments on Draft Interpretation on Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans
> Any available comments may be viewed here.
3/19/2005 2005-28 Rule G-17 , Rule G-19 Request for Comment
Request for Comments on the Underwriting Activities of Financial Advisors
> Any available comments may be viewed here.
11/18/2005 2005-57 Rule G-23 Request for Comment