MSRB NOTICE 2004-22 (JUNE 25, 2004)


The Municipal Securities Rulemaking Board (“MSRB”) is publishing today the file specifications for its upcoming interface for uploading completed Forms G-36(OS) and G-36(ARD) in Extensible Markup Language (“XML”) files through the Electronic OS/ARD Submission System (“e-OS System”).  The specifications and related information on this XML interface are available at [click here to access].  The XML interface is expected to go on-line in July 2004.  The MSRB will provide notice to the industry when the XML interface becomes available.

The XML interface will be designed to permit users of the e-OS System to upload XML files that include all information necessary to complete Forms G-36(OS) and G-36(ARD) that are required to accompany official statements and advance refunding documents submitted under Rule G-36.  Such XML files must be accompanied by Portable Document Format (“PDF”) files of the official statement or advance refunding document, as appropriate.  The XML interface will provide an alternative to the currently required keystroke inputting of information in Forms G-36(OS) and G-36(ARD) through the on-screen forms used in the e-OS System.  The MSRB believes that many brokers, dealers and municipal securities dealers (“dealers”), as well as the information vendors that service them, will be able to adapt current information systems used in connection with their underwriting activities to create XML files in a fully or partially automated manner for uploading through the e-OS System.  The XML interface should make the use of the e-OS System significantly more efficient for such dealers.

Dealers wishing to make test submissions of XML files prior to the XML interface becoming available should contact the MSRB.  Once the XML interface goes on-line, dealers will be able to make test submissions using the appropriate test indicator described in the file specifications.  Use of the XML interface is not required.  Dealers will continue to be able to make all required submissions under Rule G-36 by paper or electronically through the data entry screens of the e-OS System.  Dealers that have not previously registered with the e-OS System wishing to make submissions using the XML interface must first register to use the e-OS System.

Questions about this notice and the XML interface should be directed to Ernesto A. Lanza, Senior Associate General Counsel, or Justin R. Pica, Uniform Practice Specialist.


June 25, 2004

Link to XML Interface Information