MSRB NOTICE ()

ARCHIVED NOTICES 2001

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Archived Notices 2001

December 19, 2001
Notice on municipal fund securities -- draft amendment creating municipal fund securities limited principal category and interpretive notice on commissions, advertisements and official statements -- comments on draft amendment due January 25, 2002.

December 13, 2001
The MSRB has filed amendments to rule A-4, on meetings of the Board.

December 11, 2001
Interpretive Letter on Rule G-21, on Advertising, Rule G-30, on Prices and Commissions, and Rule G-32, on Disclosures in Connection with New Issues.

November 29, 2001
Rule G-37 -- Activities by Dealers and Municipal Finance Professionals During Transition Periods for Elected Issuer Officials .

November 6, 2001
The MSRB has filed with the SEC proposed rule change SR-MSRB-2001-08 concerning official communications.

November 1, 2001
The MSRB today begins production of the Daily Comprehensive Report.

October 16, 2001
The MSRB has filed with the SEC proposed rule change SR-MSRB-2001-07 concerning minimum denominations.

October 15, 2001
The MSRB will make the new Daily Comprehensive Report available beginning on November 1, 2001. The first day’s report will include trades effected two weeks earlier, that is, on October 18, 2001.  Backfile reports will also be available, covering October 1, 2001 onward.

October 4, 2001
The MSRB has received approval by the SEC to institute a Daily Comprehensive Report Service, providing a report with the details of municipal securities transactions effected during a single day. Each day's report will contain details of all municipal securities transactions that were effected during the trading day two weeks earlier.

September 26, 2001
MSRB and TBMA to Hold Compliance Seminar on November 13, 2001

September 14, 2001
Municipal Market Trading -- Dealer-Dealer Trading (September 11-13, 2001)

September 14, 2001
Municipal Market Trading Activity - Thursday, September 13, 2001.

September 13, 2001
Municipal Market Trading Activity - Tuesday, September 11, 2001 - Thursday, September 13, 2001.

September 11, 2001
The Board is announcing the election of its Chairman and Vice Chairman for its 2002 fiscal year.

August 17, 2001
The MSRB has filed a proposed service with the SEC. The proposed service will offer a new Daily Comprehensive Report, which would provide the details of municipal securities transactions effected during a single day. Each day's report would include the transactions effected two weeks previously.

August 8, 2001
SEC Approval of Electronic Submission System Under Rule G-36

August 8, 2001
SEC Approval of In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

August 7, 2001
The MSRB and TBMA announce a Compliance Seminar to be held in New York City on September 25, 2001.

July 25, 2001
The MSRB and The Muni Council Announce a Long-Range Planning Session on the Municipal Securities Market Disclosure System

July 11, 2001
Municipal Fund Securities -- Further Amendment Filed on Qualification of Municipal Securities Principals

July 11, 2001
Notice on Dissemination of Official Statements and Advance Refunding Documents by Issuers and Dealers from 1998 to 2000

July 6, 2001
The MSRB has published an interpretive notice for comment. The notice is seeking comment on two related concepts. The first is draft interpretive guidance on rule G-17 and the disclosure of material facts; the second is draft interpretive guidance concerning the application of MSRB rules to transactions with sophisticated municipal market professionals. Comments on the draft interpretive guidance notice should be submitted no later than October 1, 2001.

July 5, 2001
Notice on Municipal Fund Securities -- Proposed Rule Change on Qualification of Municipal Securities Principals; Interpretive Guidance and Request for Comment on Application of MSRB Rules to Fees, Disclosure and Other Market Practices

June 13, 2001
Notice concerning flat transaction fees.

June 13, 2001
The MSRB has filed proposed amendments with the SEC to allow dealers to provide in-firm delivery of the Regulatory Element of the continuing education requirement as an alternative to having persons take the training at vendor locations.

June 11, 2001
The MSRB has filed a proposed rule change with the SEC to institute an optional system of electronic submissions of official statements and advance refunding documents to the MSRB under rule G-36. The MSRB expects the electronic system to become operational on the later of January 1, 2002 or 60 days after SEC approval.

June 6, 2001
The MSRB is publishing a question-and-answer interpretation clarifying a prior Q&A notice and providing guidance on the status of bank affiliates under rules G-37 and G-38.

June 1, 2001
The MSRB is publishing a notice seeking comment on all aspects of rule G-37, on political contributions and prohibitions on municipal securities business. Comments are due by September 30, 2001.

May 29, 2001
The MSRB has announced its schedule for real-time reporting of municipal securities transactions and is requesting comments on planned operational aspects for mandatory dealer submission of trade data in real time.

April 30, 2001
The MSRB has revised Forms G-36(OS), G-36(ARD), G-37/G-38, and G-37x to include the new MSRB address.

April 23, 2001
The MSRB will have a new address and phone number as of May 7, 2001.

April 9, 2001
The MSRB has begun a review of its political contributions rule, rule G-37.

March 28, 2001
Draft amendment to rule G-15 concerning official communications.

March 26, 2001
The MSRB has published three interpretive notices on specific electronic primary offering and trading systems and electronic recordkeeping:

Interpretation on the Application of Rules G-32 and G-36 to New Issue Offerings Through Auction Procedures
Interpretation on the Application of Rules G-8, G-12 and G-14 to Specific Electronic Trading Systems
Interpretation on the Application of Rules G-8 and G-9 to Electronic Recordkeeping

March 16, 2001
The MSRB will hold an outreach meeting in Chicago, Illinois, at 4:00 p.m. on Thursday, April 5, 2001. Dealers, investors and issuers are invited to share their views with members of the MSRB Board and staff.

March 14, 2001
Draft amendment to rule G-15 concerning minimum denominations.

March 1, 2001
Notice concerning locked-in transactions.

February 13, 2001
The Board is releasing statistical information on month-by-month transaction patterns in the municipal securities market.

February 2, 2001
The Board's 2001 Nominating Committee requests recommendations of persons to be considered for five Board positions opening on October 1, 2001.

February 1, 2001
Dealers can now access their transactions stored in the Board's Transaction Reporting System database by using the Board's web site.

January 30, 2001
The SEC has approved amendments to rule G-38, on consultants, rule G-8, on books and records, and revisions to Section IV of Form G-37/G-38 and the attachment page to the form.

January 19, 2001
The SEC has approved certain MSRB rule changes relating to municipal fund securities. The rule changes became effective yesterday, January 18, 2001.

January 9, 2001
The MSRB is publishing a notice on appropriate transaction reporting procedures for transactions effected by dealers using clearing brokers.

 

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