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
SEC Approves Amendments to Rule G-37 and Rule G-8 Relating to Political Contributions 1/22/2010 2010-01 Rule G-8 , Rule G-8 , Rule G-37 Regulatory Announcement
Recommendations Requested for Board Nominations 1/27/2010 2010-02 Regulatory Announcement
Reminder of February 1, 2010 Effective Date of Amendments to Rule G-8 and Rule G-37 Relating to Bond Ballot Campaign Contributions 2/01/2010 2010-03 Rule G-8 , Rule G-37 Regulatory Announcement
Technical Revisions of Rule G-37 Qs & As 2/26/2010 2010-04 Rule G-37 Regulatory Announcement
MSRB Hosts Webinar Series on Market Information Services 3/01/2010 2010-05 Regulatory Announcement
MSRB Files Proposal for Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations 3/10/2010 2010-06 Rule G-34 Regulatory Announcement
MSRB and RBDA to Hold Municipal Securities Regulation Seminar on May 12, 2010 in St. Louis 3/17/2010 2010-07 Regulatory Announcement
EMMA Investor Education Materials 3/18/2010 2010-08 Regulatory Announcement
Reminder: Amended Form G-37 Required for Disclosure of Bond Ballot Campaign and Other Contributions Under MSRB Rule G-37 3/26/2010 2010-09 Rule G-37 Regulatory Announcement
MSRB and SIFMA to Hold Municipal Securities Regulation Seminar on June 23, 2010 in Los Angeles 4/30/2010 2010-11 Regulatory Announcement
MSRB Announces Webinars on Submission Process for 529 College Savings Plan Disclosures 5/19/2010 2010-12 Regulatory Announcement
MSRB Files with SEC to Provide Credit Ratings and Related Information for Municipal Securities on EMMA 5/20/2010 2010-13 Regulatory Announcement
MSRB Amends Pending Proposal on Additional Voluntary Submissions By Issuers and Obligated Persons to the MSRB's EMMA in Response to Securities and Exchange Commission Request 5/21/2010 2010-14 Regulatory Announcement
MSRB Receives SEC Approval to Make Available Primary Market and Continuing Disclosure Information on EMMA 6/02/2010 2010-15 Regulatory Announcement
MSRB to Hold Seminar on Continuing Disclosure Submission on June 23, 2010 in Los Angeles 6/03/2010 2010-16 Regulatory Announcement
MSRB Terminates Its Public Access Facility 6/14/2010 2010-17 Regulatory Announcement
MSRB and RBDA to Hold Municipal Securities Regulation Seminar on September 23, 2010 in Texas 6/25/2010 2010-18 Regulatory Announcement
Reminder on Submissions of Disclosure Documents to EMMA for 529 College Savings Plans 6/28/2010 2010-19 Rule G-32 Regulatory Announcement
MSRB Files with SEC to Modify the EMMA Continuing Disclosure Service to Reflect Amendments to Securities Exchange Act Rule 15c2-12 6/30/2010 2010-20 Regulatory Announcement
MSRB Amends Pending Proposal For Additional Increases In Transparency Of Municipal Auction Rate Securities and Variable Rate Demand Obligations 7/09/2010 2010-21 Regulatory Announcement
Municipal Advisor Candidates Requested for Municipal Securities Rulemaking Board 7/22/2010 2010-22 Regulatory Announcement
MSRB Amends Proposal on Priority of Orders in Primary Offerings 8/04/2010 2010-23 Rule G-8 , Rule G-11 , Rule G-17 Regulatory Announcement
Upcoming Enhancement to the SHORT System 8/09/2010 2010-24 Rule G-34 Regulatory Announcement
MSRB Files Proposal to Establish Subscription Service to Information Collected by the SHORT System 8/10/2010 2010-25 Regulatory Announcement
Priority of Orders in Primary Offerings Proposed Rule Change Approved 8/15/2010 2010-26 Rule G-8 , Rule G-9 , Rule G-11 , Rule G-17 Regulatory Announcement
Update to MSRB Notice 2010-18 Regarding MSRB and RBDA Municipal Securities Regulation Seminar on September 23, 2010 in Texas 8/17/2010 2010-28 Regulatory Announcement
MSRB Announces Webinar Series on Market Information Programs 8/24/2010 2010-29 Regulatory Announcement
SEC Approves Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations 8/26/2010 2010-31 Rule G-8 , Rule G-34 Regulatory Announcement
MSRB Receives Approval to Modify the Continuing Disclosure Service of the Electronic Municipal Market Access ("EMMA") System 8/27/2010 2010-32 Regulatory Announcement
MSRB Files with the SEC Amendments to Rule A-3 Regarding Composition of the Board 8/27/2010 2010-33 Rule A-3 Regulatory Announcement
MSRB to Hold Seminar on Continuing Disclosure Submission on September 22, 2010 in Dallas, TX 8/30/2010 2010-34 Regulatory Announcement
MSRB and SIFMA to Co-Host Regulatory and Compliance Seminars 9/13/2010 2010-36 Regulatory Announcement
MSRB Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market 9/20/2010 2010-37 Rule G-17 , Rule G-19 , Rule G-27 , Rule G-30 Regulatory Announcement
SEC Approves Establishment of Subscription Service to Information Collected by the SHORT System 9/28/2010 2010-38 Regulatory Announcement
SEC Approves MSRB Proposal Regarding New Board Composition 9/30/2010 2010-39 Rule A-3 Regulatory Announcement
MSRB Files Proposed Rule Change Relating to Subscription Services for Transaction Price Data 9/30/2010 2010-40 Regulatory Announcement
MSRB Files Proposal to Increase Transaction Assessments and to Institute a New Technology Fee on Reported Sales Transactions under Rule A-13 9/30/2010 2010-41 Regulatory Announcement
Expanded MSRB Mission; Rulemaking for Municipal Advisors 10/01/2010 2010-42 Regulatory Announcement
MSRB to Host Outreach Seminars 10/14/2010 2010-43 Regulatory Announcement
MSRB Receives SEC Approval to Provide Credit Ratings and Related Information for Municipal Securities on EMMA 10/21/2010 2010-44 Regulatory Announcement
MSRB Receives SEC Approval of Interpretive Guidance on Dealer-Affiliated PACS Under Rule G-37 10/21/2010 2010-45 Rule G-37 Regulatory Announcement
MSRB Files Revised Series 52 Study Outline and Selection Specifications 10/26/2010 2010-46 Rule G-3 Regulatory Announcement
Application of MSRB Rules to Municipal Advisors 11/01/2010 2010-47 Regulatory Announcement
MSRB Files with the SEC Amendments to Rule A-3(c) to Establish New Nominating Committee 11/08/2010 2010-48 Rule A-3 Regulatory Announcement
MSRB Amends Registration Rules for Dealers and Municipal Advisors 11/15/2010 2010-49 Regulatory Announcement
MSRB Opens Municipal Advisor Registration System 11/15/2010 2010-50 Regulatory Announcement
MSRB Receives SEC Approval to Modify Transaction Data Subscription Services 11/24/2010 2010-51 Regulatory Announcement
MSRB to Host Outreach Seminar in Los Angeles 11/29/2010 2010-52 Regulatory Announcement
MSRB Makes Technical Changes to SEC Filing on Nominating Committee Proposal 12/01/2010 2010-53 Rule A-3 Regulatory Announcement
Reminder of Changes to the Continuing Disclosure Service of the EMMA System Relating to New SEC Rule 15c2-12 Provisions 12/01/2010 2010-54 Regulatory Announcement
Reminder to Municipal Advisors About January 1, 2011 Registration Deadline 12/13/2010 2010-55 Rule A-12 Regulatory Announcement
Amendments to Rule G-32 Related to Submission of Information About Continuing Disclosure Undertakings Effective February 14, 2011 12/16/2010 2010-56 Rule G-32 Regulatory Announcement
Reminder: Interpretation on Dealer-Controlled Political Action Committees Under Rule G-37 12/17/2010 2010-57 Rule G-37 Regulatory Announcement
MSRB Reminder About Los Angeles, CA Outreach Seminar 12/20/2010 2010-58 Regulatory Announcement
MSRB Fair Dealing Rule for Municipal Advisors Approved 12/23/2010 2010-59 Rule G-17 Regulatory Announcement
MSRB Municipal Advisor Registration Deadline and SEC Guidance on Definition of Municipal Advisor 12/29/2010 2010-60 Regulatory Announcement
MSRB Publishes SHORT System Technical Specifications for SEC-Approved Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations 12/29/2010 2010-61 Rule G-34 Regulatory Announcement
SEC Approves Transaction Fee Increase and New Technology Fee 12/30/2010 2010-62 Rule A-13 Regulatory Announcement
Request for Comments on Draft Interpretive Guidance on Prevailing Market Prices and Mark-Up for Transactions in Municipal Securities
> Any available comments may be viewed here.
4/21/2010 2010-10 Rule G-30 Request for Comment
Request for Comment on Rule G-23 on the Underwriting Activities of Financial Advisors
> Any available comments may be viewed here.
8/17/2010 2010-27 Rule G-23 Request for Comment
MSRB Files Interpretive Guidance and Publishes a Request for Comment on Dealer-Affiliated PACs Under Rule G-37
> Any available comments may be viewed here.
8/25/2010 2010-30 Rule G-37 Request for Comment
Request for Comment on MSRB Guidance on Broker’s Brokers
> Any available comments may be viewed here.
9/09/2010 2010-35 Rule G-8 , Rule G-9 , Rule G-17 , Rule G-18 , Rule G-30 Request for Comment