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
Firm Element Advisory for Continuing Education is Available 1/17/2007 2007-01 Rule G-3 Regulatory Announcement
Recommendations Requested for Board Nominations 1/19/2007 2007-02 Regulatory Announcement
Reminder Notice on Use of "List Offering Price/Takedown" Indicator: Rule G-14 1/19/2007 2007-03 Rule G-14 Regulatory Announcement
Financial Statements - Fiscal Years Ended September 30, 2006 and 2005 1/22/2007 2007-04 Regulatory Announcement
MSRB Seeks Comments on Draft Rule Changes to Establish an Electronic Access System for Official Statements 1/25/2007 2007-05 Rule G-8 , Rule G-9 , Rule G-32 Regulatory Announcement
Dealer Payments in Connection with the Municipal Securities Issuance Process 1/29/2007 2007-06 Rule G-17 , Rule G-20 , Rule G-27 Regulatory Announcement
New RTRS Error Messages to Be Applied to "Other Tax-Exempt" Transactions: Rule G-14 2/02/2007 2007-07 Rule G-14 Regulatory Announcement
MSRB Files Amendment to Rule Filing Relating to Advertisements of Municipal Fund Securities 2/12/2007 2007-08 Rule G-21 Regulatory Announcement
MSRB and SIFMA to Hold Compliance Seminar on May 3, 2007 in Chicago, IL 2/28/2007 2007-09 Regulatory Announcement
MSRB Forum on Transaction Reporting Improvements: NIIDS and CTCs 3/20/2007 2007-11 Rule G-14 , Rule G-34 Regulatory Announcement
Reporting of Inter-Dealer Transactions That Occur Outside of RTRS Business Day Hours or on Invalid RTTM Trade Dates 3/23/2007 2007-12 Rule G-14 Regulatory Announcement
Reminder of Obligations Under Rule G-37 on Political Contributions and Rule G-27 on Supervision When Sponsoring Meetings and Conferences Involving Issuer Officials 3/26/2007 2007-13 Rule G-20 , Rule G-27 , Rule G-37 Regulatory Announcement
NASD Staff to Participate in MSRB/SIFMA Compliance Seminar in Chicago, IL 3/20/2007 2007-14 Regulatory Announcement
529 College Savings Plans Pending Advertisement Rule Filing and Improved Access to Plan Disclosure Materials 5/17/2007 2007-15 Regulatory Announcement
SEC Approves Amendments to Rule G-27 on Supervision, Rule G-8 on Recordkeeping, and Rule G-9 on Record Retention. The Amendments Become Effective November 26, 2007 5/25/2007 2007-16 Rule G-8 , Rule G-9 , Rule G-27 Regulatory Announcement
Reminder of Customer Protection Obligations in Connection with Sales of Municipal Securities 3/30/2007 2007-17 Rule G-17 , Rule G-19 , Rule G-20 Regulatory Announcement
MSRB Advertising Amendments and Interpretation Relating to Municipal Fund Securities Approved By SEC 6/05/2007 2007-18 Rule G-21 , Rule G-27 Regulatory Announcement
Reminder Notice on Prohibited Payments to Non-Affiliated Persons for Solicitations of Municipal Securities Business Under Rule G-38 and Form G-38t Submission Requirements 6/12/2007 2007-19 Rule G-38 Regulatory Announcement
Notice of Filing of Proposed Rule Change Relating to Reporting Special Condition Indicators for Certain Special Trading Situations 6/13/2007 2007-20 Rule G-14 Regulatory Announcement
Lynnette Kelly Hotchkiss Joins MSRB as New Executive Director 6/18/2007 2007-21 Regulatory Announcement
SIFMA, MSRB, and DTCC to hold NIIDS/NUWS 6/29/2007 2007-22 Regulatory Announcement
REMINDER: Disclosure Requirements Relating to Maximum Sales Load and Total Operating Expense Ratio in Performance Advertisements of Municipal Fund Securities have Become Effective 7/16/2007 2007-23 Rule G-21 , Rule G-27 Regulatory Announcement
Amendment Filed to Rule A-3, on Membership on the Board 8/09/2007 2007-24 Rule A-3 Regulatory Announcement
SEC Approval Relating to Reporting Special Condition Indicators for Certain Special Trading Situations 8/13/2007 2007-25 Rule G-14 Regulatory Announcement
RTRS Web Enhancement: Extended Hours 8/22/2007 2007-26 Rule G-14 Regulatory Announcement
Notice of Filing and Immediate Effectiveness of Proposal to Delay Implementation of Amendments to Rule G-27, on Supervision 9/14/2007 2007-27 Rule G-27 Regulatory Announcement
Further Technical Amendment Filed to Rule A-3, on Membership on the Board 9/17/2007 2007-28 Rule A-3 Regulatory Announcement
MSRB Publishes Interpretive Letter Relating to Payments to Non-Political Accounts of Political Organizations Under Rule G-37 9/25/2007 2007-29 Rule G-37 Interpretive Letter
MSRB and SIFMA to Hold Compliance Seminar on October 22, 2007 10/02/2007 2007-30 Regulatory Announcement
Notice of Filing of Proposed Amendments to Rule G-40 on Electronic Mail Contacts 10/16/2007 2007-31 Regulatory Announcement
Guidance on Implementation of New Supervisory Requirements Under Rule G-27; Technical Amendments Filed 11/08/2007 2007-32 Rule G-27 Regulatory Announcement
MSRB Files Pilot Portal for On-Line Dissemination of Official Statements and Related Information and Seeks Comments on Revised Draft Amendments to Establish an Access Equals Delivery Standard Under Rule G-32 11/15/2007 2007-33 Rule G-32 Regulatory Announcement
RTRS Educational Conference Calls 11/16/2007 2007-34 Rule G-12 , Rule G-14 Regulatory Announcement
Dealer Data Quality Summary of Correspondent's Trades 11/19/2007 2007-35 Regulatory Announcement
Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System 11/27/2007 2007-36 Rule G-8 , Rule G-9 , Rule G-14 , Rule G-34 Regulatory Announcement
Announcing MSRB 529 Compliance Seminars 11/28/2007 2007-37 Regulatory Announcement
SEC Approves Amendments to Rule G-40 on E-Mail Contacts, Effective December 31, 2007 12/18/2007 2007-38 Regulatory Announcement
New RTRS Error Message and Changes to Existing RTRS Error Messages 12/20/2007 2007-39 Regulatory Announcement
Reporting of Transactions Arising From Customer Repurchase Agreements: Rule G-14 12/21/2007 2007-40 Rule G-14 Regulatory Announcement
Request for Comment on Proposed Rule Changes to Improve Transaction Reporting of New Issue Municipal Securities
> Any available comments may be viewed here.
3/05/2007 2007-10 Rule G-14 , Rule G-34 Request for Comment