MSRB Notice 2004-23 (July 28, 2004)

XML Interface to the Electronic OS/ARD Submission System of the Municipal Securities Information Library® Becomes Operational

The Municipal Securities Rulemaking Board’s new 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”) becomes operational today.  The XML interface is 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.  The XML interface provides an alternative to the keystroke inputting of information in Forms G-36(OS) and G-36(ARD) through the on-screen forms used in the e-OS System.  Use of the XML interface is not required.  Dealers may continue to make all required submissions under Rule G-36 by paper or electronically through the data entry screens of the e-OS System.

To make an XML file submission, a dealer must log on to the e-OS System and then select the type of submission being made under Rule G-36.  The XML interface for uploading files will appear at the top of the on-line data entry form.  As with all other submissions made through the e-OS System, XML files must be accompanied by Portable Document Format (“PDF”) files of the official statement, advance refunding document or amendments thereto, as appropriate.

Specifications and related information on the XML interface are available at www.msrb.org/msrb1/g36/eOS.  In addition, the MSRB has revised its Form G-36 Manual to incorporate procedures for XML interface submissions through the e-OS System.  Dealers wishing to make test submissions of XML files through the new interface before making official submissions for purposes of compliance with Rule G-36 must use the appropriate test indicator in their XML files, as described in the file specifications.  Dealers that have not previously registered with the e-OS System must first register to use the e-OS System in order to make submissions using the XML interface.  The registration form is available at www.msrb.org/msrb1/g36/G-36Contents.asp.

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.

July 28, 2004