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
Reminder of Extension of Three-Hour Exception 1/02/2008 2008-01 Rule G-14 Regulatory Announcement
Firm Element Advisory for Continuing Education Is Available 1/03/2008 2008-02 Rule G-3 Regulatory Announcement
Recommendations Requested for Board Nominations 1/07/2008 2008-03 Regulatory Announcement
Bond Insurance Ratings -- Application of MSRB Rules 1/22/2008 2008-04 Rule G-15 , Rule G-17 , Rule G-19 , Rule G-30 Regulatory Announcement
Reminder: New Supervisory Requirements Under Rule G-27 Become Effective February 29, 2008 2/07/2008 2008-06 Rule G-8 , Rule G-9 , Rule G-27 Regulatory Announcement
Preliminary Agenda and Registration Form for MSRB 529 Compliance Seminars 2/08/2008 2008-07 Regulatory Announcement
Financial Statements - Fiscal Years Ended September 30, 2007 and 2006 2/13/2008 2008-08 Regulatory Announcement
Application of MSRB Rules to Transactions in Auction Rate Securities 2/19/2008 2008-09 Rule G-17 , Rule G-19 Regulatory Announcement
Notice of Filing of Proposed Amendment to Rule G-8, on Books and Records, to Delete Requirement to Maintain Copies of Form G-40 2/20/2008 2008-10 Rule G-8 Regulatory Announcement
MSRB and SIFMA to Hold Compliance Seminar on April 29, 2008 in Chicago, IL 2/21/2008 2008-11 Regulatory Announcement
MSRB Responds to SEC Request for Review of Definition of "Issuer Official" Under Rule G-37 on Political Contributions 3/04/2008 2008-12 Rule G-37 Regulatory Announcement
Amendment Files to Rule A-3, on Membmership on the Board, and Rule A-4, on Meetings of the Board 3/05/2008 2008-13 Rule A-3 , Rule A-4 Regulatory Announcement
MSRB Files With SEC to Launch Pilot Electronic Municipal Market Access System (EMMA) on March 31, 2008 3/07/2008 2008-14 Regulatory Announcement
Submission of Official Statements to the MSRB Under Rule G-36 in Connection with Certain Remarketings of Outstanding Issues 3/25/2008 2008-17 Regulatory Announcement
Reminder Regarding Discrepencies in Reports of Inter-Dealer Transactions 4/07/2008 2008-18 Regulatory Announcement
Amendment to Proposed Rule Changes Requiring Underwriter Participation with DTCC's NIIDS System 4/22/2008 2008-20 Rule G-8 , Rule G-9 , Rule G-34 Regulatory Announcement
Reminder Notice: MSRB 529 Compliance Seminars 4/24/2008 2008-21 Regulatory Announcement
SEC Approves Rule Changes to Require Underwriter Participation with DTCC'S NIIDS System 5/02/2008 2008-22 Rule G-8 , Rule G-9 , Rule G-34 Regulatory Announcement
Notice of Filing of Poposed Rule Change to Require Underwriter Registration and Testing with DTCC'S NIIDS System 5/09/2008 2008-23 Rule G-34 Regulatory Announcement
MSRB 2008-25 SIFMA, MSRB and DTCC to Hold "Final Preparations for NIIDS Mandated Testing and Implementation" Seminars in Dallas,Chicago and New York 5/28/2008 2008-25 Regulatory Announcement
Reminder of Upcoming Sunset of the Three Hour Exception 6/13/2008 2008-27 Rule G-14 Regulatory Announcement
SEC Approves Rule Changes to Require Underwriter Registration and Testing with DTCC'S NIIDS System 6/27/2008 2008-28 Rule G-34 Regulatory Announcement
Further Technical Amendments Filed to Rule G-12, on Uniform Practice, and G-8, on Books and Records 6/27/2008 2008-29 Rule G-8 , Rule G-12 Regulatory Announcement
Publication of MSRB Rule Book 7/03/2008 2008-30 Rule G-29 Regulatory Announcement
NIIDS Phone-In Workshop 7/10/2008 2008-31 Regulatory Announcement
Amendments Approved to Rules G-11, G-12 and G-8 7/22/2008 2008-32 Rule G-8 , Rule G-11 , Rule G-12 Regulatory Announcement
MSRB Files Proposal to Establish a Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA) 7/29/2008 2008-33 Regulatory Announcement
Notice on Bank Tying Arrangements, Underpricing of Credit and Rule G-17 on Fair Dealing 8/18/2008 2008-34 Rule G-17 Regulatory Announcement
Revised Series 51 Study Outline and Selection Specifications Filed with SEC 8/18/2008 2008-35 Rule G-3 Regulatory Announcement
Transaction Reporting of Dealer Buybacks of Auction Rate Securities: Rule G-14 9/02/2008 2008-36 Rule G-14 Regulatory Announcement
Reminder of Upcoming Changes to MSRB Rules Relating to DTCC'S NIIDS System 9/08/2008 2008-37 Rule G-8 , Rule G-9 , Rule G-34 Regulatory Announcement
Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials 9/11/2008 2008-38 Rule G-37 Regulatory Announcement
Enhancement of RTRS Dealer Data Quality Summary Reports to Show New Deadlines 9/16/2008 2008-39 Regulatory Announcement
Preliminary Specifications for Primary Market Subscription and Document Submission Feeds of the MSRB's Electronic Municipal Market Access System ("EMMA") 9/24/2008 2008-40 Regulatory Announcement
Reminder of Effective Date of MSRB Rules Relating to DTCC'S NIIDS System 9/30/2008 2008-41 Rule G-34 Regulatory Announcement
MSRB and SIFMA to Hold Compliance Seminar on October 27, 2008 10/14/2008 2008-42 Regulatory Announcement
MSRB Gateway Roll Out and Training: First Phase of MSRB Gateway Simplifies Regulatory Tasks 10/15/2008 2008-43 Regulatory Announcement
MSRB Hosts Webinar on RTRS and NIIDS 10/21/2008 2008-44 Regulatory Announcement
MSRB Files Amendment Relating to Proposed Continuing Disclosure Service of the MSRB's Electronic Municipal Market Access System (EMMA) 11/06/2008 2008-45 Regulatory Announcement
MSRB Files Proposal to Increase Transparency of Auction Rate Securities and Variable Rate Demand Obligations 11/18/2008 2008-46 Rule G-34 Regulatory Announcement
MSRB Receives Approval to Establish a Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA) 12/08/2008 2008-47 Regulatory Announcement
MSRB Publishes Short System XML Interface Specifications and Data Elements 12/10/2008 2008-48 Rule G-34 Regulatory Announcement
MSRB Announces Short System Registration and Testing of Web Services 12/16/2008 2008-49 Rule G-34 Regulatory Announcement
MSRB Files Comment Letter With SEC on Proposed Rules for Nationally Recognized Statistical Rating Organizations 7/25/2008 Regulatory Announcement
MSRB Begins Planning for Continuing Disclosure Component of the New Electronic Municipal Market Access System (EMMA)
> Any available comments may be viewed here.
1/31/2008 2008-05 Request for Comment
Request for Comment: Plan for Increasing Information Available for Municipal Auction Rate Securities
> Any available comments may be viewed here.
3/17/2008 2008-15 Rule G-14 Request for Comment
Request for Comment Regarding Group Orders Under Rule G-11, on New Issue Syndicate Practices, and Notice of Technical Amendments to Rules G-11 and G-12
> Any available comments may be viewed here.
3/18/2008 2008-16 Rule G-11 , Rule G-12 Request for Comment
MSRB Seeks Comment on the Reporting of Proprietary Desk Transactions under Rule G-14, on Reports of Sales or Purchases
> Any available comments may be viewed here.
4/11/2008 2008-19 Rule G-14 Request for Comment
Request for Comment: Plan for Increasing Information Available for Municipal Variable Rate Demand Obligations
> Any available comments may be viewed here.
5/23/2008 2008-24 Request for Comment
Request for Comment on Publication of MSRB Rule Book
> Any available comments may be viewed here.
6/11/2008 2008-26 Request for Comment