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
RTRS Web Educational Conference Calls 1/17/2006 2006-01 Regulatory Announcement
Recommendations Requested For Board Nominations 1/19/2006 2006-02 Regulatory Announcement
Joint Statement of NASD and the Municipal Securities Rulemaking Board 2/22/2006 2006-03 Regulatory Announcement
Financial Statements-Fiscal Years Ended September 30, 2005 and 2004 2/23/2006 2006-04 Regulatory Announcement
MSRB Files Second Amendment to Interpretation on the Definition of Solicitation Under Rules G-37 and G-38 and Files Second Amendment to Interpretation on the Definition Of Solicitation Under Rules G-37 and G-38 and Files Withdrawal of Certain Rules G-37 and G-38 Question and Answer Guidance 3/17/2006 2006-05 Rule G-37 , Rule G-38 Regulatory Announcement
MSRB Files Restated Articles of Incorporation and By-Laws with SEC 3/20/2006 2006-06 Regulatory Announcement
MSRB Files Interpretation on Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans with the SEC 3/31/2006 2006-07 Rule G-17 , Rule G-19 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar on June 14, 2006 in Chicago, IL 4/19/2006 2006-08 Regulatory Announcement
MSRB Files Amendment to Withdraw an Additional Rule G-37 and Rule G-38 Question and Answer Guidance 4/20/2006 2006-09 Rule G-37 , Rule G-38 Regulatory Announcement
Request for Comment on Draft Procedures for Reporting Special Condition Indicators on Certain New Issue Transactions
> Any available comments may be viewed here.
4/21/2006 2006-10 Rule G-14 Request for Comment
Request For Comments On Draft Amendments to Rule G-27, on Supervision, That Strengthen Supervisory Procedures
> Any available comments may be viewed here.
4/21/2006 2006-11 Rule G-27 Request for Comment
Industry Preparations for Expiration of Three Hour Exception from Real-Time Transaction Reporting 4/24/2006 2006-12 Rule G-14 Regulatory Announcement
MSRB Publishes Interpretive Letter Relating to 529 College Savings Plan Advertisements 5/15/2006 2006-13 Rule G-17 , Rule G-21 Regulatory Announcement
Amendment Filed to Rule A-11, on Indemnification of Members and Employees 5/25/2006 2006-14 Rule A-11 Regulatory Announcement
SEC Approves Interpretive Notice on the Definition of Solicitation Under Rules G-37 and G-38 and Withdrawal of Q&A Guidance 6/15/2006 2006-15 Rule G-37 , Rule G-38 Regulatory Announcement
SEC Approves Interpretive Notice on Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans 6/15/2006 2006-16 Regulatory Announcement
Data Quality Detail Report is Available to Dealers 6/16/2006 2006-17 Regulatory Announcement
Revised Series 53 Study Outline and Test Specifications Filed with SEC 6/19/2006 2006-18 Rule G-3 Regulatory Announcement
MSRB Seeks Comments on Application of "Access Equals Delivery" Standard to Official Statement Dissemination for New Issue Municipal Securities
> Any available comments may be viewed here.
7/27/2006 2006-19 Rule G-32 Request for Comment
Request for Comment on Draft Procedures For Reporting Special Condition Indicators For Certain Special Trading Situations
> Any available comments may be viewed here.
7/31/2006 2006-20 Rule G-14 Request for Comment
Request for Comment on Rule G-14 Transaction Reporting Procedures for Block Order Executions
> Any available comments may be viewed here.
7/31/2006 2006-21 Rule G-14 Request for Comment
MSRB and TBMA to Hold Compliance Seminar on October 26, 2006 8/02/2006 2006-22 Regulatory Announcement
MSRB To Seek Next Generation Leadership 8/09/2006 2006-24 Regulatory Announcement
Revised Series 51 Study Outline Filed with SEC 8/11/2006 2006-25 Rule G-3 Regulatory Announcement
Request for Comments on Draft Amendments Relating to Rule G-21, on Advertising
> Any available comments may be viewed here.
8/11/2006 2006-26 Rule G-21 Request for Comment
Notice of Filing of Proposed Rule Change Relating to RTRS Procedures, Under Rule G-14 Reports of Sales or Purchases 8/15/2006 2006-27 Rule G-14 Regulatory Announcement
Amendments Approved to Rule G-14 RTRS Procedures Relating to "List Offering Price" and "Takedown" Transactions 10/19/2006 2006-28 Rule G-14 Regulatory Announcement
Amendment Filed to Rule A-6, on Committees of the Board 10/24/2006 2006-29 Rule A-6 Regulatory Announcement
Reminder of Upcoming RTRS Changes: LOP/TD Indicator and Three-Hour Exception 10/31/2006 2006-30 Rule G-14 Regulatory Announcement
RTRS Educational Conference Calls 11/15/2006 2006-31 Regulatory Announcement
MSRB Files Amendments and Interpretive Guidance Relating to Advertisements of Municipal Fund Securities 11/21/2006 2006-32 Rule G-17 , Rule G-21 , Rule G-27 Regulatory Announcement
Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention 11/24/2006 2006-33 Rule G-8 , Rule G-9 , Rule G-27 Regulatory Announcement
Notice Concerning Changes to the Comparison Eligibility of Certain Inter-dealer Transactions: Rules G-12(f) and G-14 12/05/2006 2006-34 Rule G-12 , Rule G-14 Regulatory Announcement
Real-Time Transaction Reporting Update: Upcoming Changes in Rule G-14 and RTRS and Reminders on Existing Requirements Under Rule G-14 12/06/2006 2006-35 Rule G-14 Regulatory Announcement
Notice Concerning Trades Effected on January 2, 2007 -- National Day of Mourning For Former President Gerald Ford 12/29/2006 2006-36 Rule G-14 Regulatory Announcement
Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans 8/07/2006 2006-23 Rule G-17 Interpretive Notice