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MSRB Glossary of Terms
Filings with SEC
2009 Filings
SR-MSRB-2009-18 (December 4, 2009)
Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Rule G-8, on Books and Records, Regarding Disclosure of Contributions to Bond Ballot Campaigns
SR-MSRB-2009-17 (November 18, 2009)
Proposed Rule Change Consisting of Amendments to Rules G-8, G-9 and G-11, a Proposed Interpretation of Rule G-17 Regarding Priority of Orders, and the Deletion of a Previous Rule G-17 Interpretive Notice
SR-MSRB-2009-16 (November 5, 2009)
New Rule A-16, on Examination Fees
SR-MSRB-2009-15 (September 30, 2009)
Proposed Rule Change to Rule A-13, on Underwriting Assessments, and Rule G-32, on Disclosures in Connection with Primary Offerings
SR-MSRB-2009-14 (September 15, 2009)
Interpretive Notice on Use of Electronic Confirmations Produced By a Clearing Agency or Qualified Vendor to Satisfy the Requirements of Rule G-15(a)
SR-MSRB-2009-13 (August 13, 2009)
Proposed Rule Change to Rule A-14, on Annual Fee, to Increase the Annual Fee Paid by Dealers
SR-MSRB-2009-12 (August 6, 2009)
Proposed Rule Change to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account)
SR-MSRB-2009-11 (July 29, 2009)
Proposed Rule Change to Rules A-3, on Membership on the Board, A-4, on Meetings of the Board, A-5, on Officers and Employees of the Board, and A-6, on Committees of the Board
SR-MSRB-2009-10 (July 14, 2009)
Proposed Rule Change Relating to Additional Voluntary Submissions by Issuers to the MSRB’s Electronic Municipal Market Access System (EMMA®)
SR-MSRB-2009-10, Amendment No. 1 (December 18, 2009)
SR-MSRB-2009-09 (July 14, 2009)
Proposed Rule Change Relating to Rule G-32, on Disclosures in Connection with Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB’s Electronic Municipal Market Access System (EMMA®)
SR-MSRB-2009-09, Amendment No. 1 (December 18, 2009)
SR-MSRB-2009-08 (July 14, 2009)
Interpretive Guidance on Disclosure and Other Sales Practice Obligations of Brokers, Dealers and Municipal Securities Dealers Relating to Sales of Municipal Securities to Individual and Other Retail Investors
SR-MSRB-2009-07 (May 29, 2009)
Proposed Rule Change Relating to the Termination of the CDINet System
SR-MSRB-2009-06 (April 28, 2009)
Proposed Rule Change to Rule G-8, on Books and Records, to Require Dealers to Maintain Certain Records Relating to Auction Rate Securities and Variable Rate Demand Obligations
SR-MSRB-2009-05 (April 22, 2009)
Proposed Rule Change to Establish a Real-Time Subscription to the Document Collection of the Continuing Disclosure Service of the MSRB's Electronic Municipal Market Access System (EMMA®).
SR-MSRB-2009-04 (April 14, 2009)
Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to the MSRB’s Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)
SR-MSRB-2009-03 (March 25, 2009)
Proposed Rule Change to Establish a Pilot Phase of the Continuing Disclosure Service of MSRB’s Electronic Municipal Market Access System (EMMA®)
SR-MSRB-2009-02 (March 23, 2009)
Proposed Rule Change to Implement an Electronic System for Free Public Access to Primary Market Disclosure Documents and Transaction Price Information for the Municipal Securities Market through the MSRB’s Electronic Municipal Market Access System (EMMA®)
SR-MSRB-2009-01 (March 18, 2009)
Proposed Rule Change to Extend the MSRB’s Pilot of its Electronic Municipal Market Access System (EMMA®)
2008 Filings
SR-MSRB-2008-07 (November 18, 2008)
Proposed Rule Change to Rule G-34, on CUSIP Numbers and New Issue Requrements, to Establish a Transparency System for Municipal Auction Rate Securities and Municipal Variable Rate Demand Obligations
SR-MSRB-2008-07, Amendment No. 1 (January 2, 2009)
SR-MSRB-2008-06 (August 18, 2008)
Revisions to the Study Outline and Selection Specifications for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51) Program
SR-MSRB-2008-05 (July 29, 2008)
Proposed Rule Change to Establish a Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA)
SR-MSRB-2008-05, Amendment No. 1 (November 5, 2008)
SR-MSRB-2008-04 (May 9, 2008)
Amendment to Rule G-34, on CUSIP Numbers and New Issue Requirements, to Require Underwriter Registration and Testing with Depository Trust and Clearing Corporation’s New Issue Information Dissemination System
SR-MSRB-2008-03 (March 18, 2008)
Amendments to Rule G-11, on New Issue Syndicate Practices, and Rule G-12, on Uniform Practice SR-MSRB-2008-03, Amendment No. 1 (June 26, 2008)
SR-MSRB-2008-02 (March 5, 2008)
Amendment to Rule A-3, on Membership on the Board, and Rule A-4, on Meetings of the Board
SR-MSRB-2008-01 (February 19, 2008)
Amendment to Rule G-8 to Delete the Requirement to Maintain Copies of Form G-40 and Any Amended Forms as Required by Rule G-40
2007 Filings
SR-MSRB-2007-08 (November 27, 2007)
Proposed Rule Change to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-34, on CUSIP Numbers and New Issue Requirements, to Improve Transaction Reporting of New Issues
SR-MSRB-2007-08, Amendment No. 1 (April 22, 2008)
SR-MSRB-2007-07 (November 27, 2007)
Amendment to Rule G-14, on Reports of Sales or Purchases, to Extend the Expiration Date of the Three-Hour Exception to the Fifteen-Minute Reporting Deadline
SR-MSRB-2007-06 (November 15, 2007)
Proposed Rule Change to Establish a Pilot System for Consolidated Dissemination of Disclosure Documents and Related Information Through an Internet-Based Public Access Portal
SR-MSRB-2007-06, Amendment No. 1 (January 30, 2008)
SR-MSRB-2007-06, Amendment No. 2 (March 7, 2008)
SR-MSRB-2007-05 (November 8, 2007)
Technical Amendments to Rule G-27, on Supervision
SR-MSRB-2007-04 (October 16, 2007)
Amendments to Rule G-40, on Electronic Mail Contacts, to More Fully Conform MSRB Requirements to FINRA Requirements Relating to Contact Information
SR-MSRB-2007-03 (September 14, 2007)
Proposed Rule Change to Delay, Until February 29, 2008, the Implementation of Amendments to Rule G-27, on Supervision
SR-MSRB-2007-02 (August 9, 2007)
Amendment to Rule A-3, on Membership on the Board, to Permit a Board Member to Succeed Him or Herself in Office for a Second Consecutive Term
SR-MSRB-2007-02, Amendment No. 1 (September 17, 2007)
SR-MSRB-2007-01 (June 13, 2007)
Amendments To and An Interpretation of Rule G-14, on Reports of Sales or Purchases, Relating to Reporting Special Condition Indicators for Certain Special Trading Situations
2006 Filings
SR-MSRB-2006-10 (November 24, 2006)
Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention
SR-MSRB-2006-09 (November 21, 2006)
Proposed Rule Change Relating to Rule G-21, on Advertising, and Rule G-27, on Supervision
SR-MSRB-2006-09, Amendment No. 1 (February 12, 2007)
SR-MSRB-2006-08 (October 24, 2006)
Amendment to Rule A-6, on Committees of the Board
SR-MSRB-2006-07 (August 15, 2006)
Amendments to Rule G-14 RTRS Procedures Relating to "List Offering Price" and Takedown" Transactions
SR-MSRB-2006-06 (August 11, 2006)
Revisions to the Series 51 Study Outline
SR-MSRB-2006-05 (June 19, 2006)
Revisions to the Series 53 Study Outline and Test Specifications
SR-MSRB-2006-04 (May 25, 2006)
Amendment to Rule A-11, on Indemnification of Members and Employees
SR-MSRB-2006-03 (March 31, 2006)
Interpretation on Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans
SR-MSRB-2006-02 (March 20, 2006)
MSRB Files Restated Articles of Incorporation and By-Laws with SEC
SR-MSRB-2006-01 (March 17, 2006, re-filed March 28, 2006)
Amendment to Withdraw Question and Answer Guidance under Rule G-37 and former Rule G-38
SR-MSRB-2006-01, Amendment No. 1 (April 20, 2006)
2005 Filings
SR-MSRB-2005-17 (December 16, 2005)
Amendments to Rules A-3(f) and A-6(c) Relating to Board Member Compensation
SR-MSRB-2005-16 (December 13, 2005)
Amendment Extends the Expiration Date of the Three-Hour Exception to the 15 Minute Reporting Deadline Under Rule G-14 RTRS Procedures
SR-MSRB-2005-15 (October 13, 2005)
Revisions to the Series 9/10 Examination
SR-MSRB-2005-14 (September 12, 2005)
Amendment to Rule A-8(a), on Adoption of Proposed Rules and Submission to Commission
SR-MSRB-2005-13 (June 23, 2005)
Amendments to Official Statement Delivery Requirements Under Rules G-32, G-36 and G-11
SR-MSRB-2005-12 (June 21, 2005)
Amendments to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, Concerning Solicitation and Payments to Political Parties, and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations
SR-MSRB-2005-11 (June 8, 2005)
Interpretive Notice Relating to Definition of "Solicitation" Under Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Rule G-38, on Solicitation of Municipal Securities Business
SR-MSRB-2005-11, Amendment No. 1 (December 7, 2005)
SR-MSRB-2005-11, Amendment No. 2 (March 17, 2006)
SR-MSRB-2005-10 (June 2, 2005)
Technical Amendment to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
SR-MSRB-2005-09 (June 2, 2005)
Amendments Relating to Month-End Performance Data for Municipal Fund Securities Under Rule G-21, on Advertising
SR-MSRB-2005-08 (May 26, 2005)
Amendments to Rule G-40, on Electronic Mail Contacts, and Form G-40
SR-MSRB-2005-07 (April 29, 2005)
Amendment to Rule G-8 Relating to Delivery of Customer Agreements Containing Predispute Arbitration Clauses
SR-MSRB-2005-05 (March 21, 2005)
Amendments to Rule G-8 to Add Requirement for Predispute Arbitration Agreements with Customers and to Rule A-11 to Delete Obsolete References to Arbitrators
SR-MSRB-2005-05, Amendment No. 1 (April 1, 2005)
SR-MSRB-2005-04 (March 17, 2005)
Amendments Relating to Solicitation of Municipal Securities Business Under Rule G-38
SR-MSRB-2005-04, Amendment No. 1 (August 9, 2005)
SR-MSRB-2005-03 (March 4, 2005)
Amendment to Rule G-41, on Anti-Money Laundering Compliance
SR-MSRB-2005-03, Amendment No. 1 (April 25, 2005)
SR-MSRB-2005-02 (January 13, 2005)
Amendments to Rules G-20, on Gifts and Gratuities, and G-8, on Recordkeeping
SR-MSRB-2005-01 (January 5, 2005)
Interpretive Reminder Notice Regarding Rule G-17, on Disclosure of Material Facts—Disclosure of Original Issue Discount Bonds
2004 Filings
SR-MSRB-2004-09 (December 16, 2004)
Amendments to Rule G-21, on Advertising, to Establish Specific Requirements with Respect to Advertisements by Dealers Relating to Municipal Fund Securities
SR-MSRB-2004-08 (November 18, 2004)
Amendments to Rule G-34, on CUSIP Numbers and New Issue Requirements, to Facilitate Real-Time Transaction Reporting of Trades in New Issue Municipal Securities
SR-MSRB-2004-07 (November 15, 2004)
Implementation Plan for the January 2005 Transition to MSRB's Real-Time Transaction Reporting and Price Dissemination System, Which Includes the Effective Date for Admendments to Rule G-14 and Rule G-12(f)
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