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archive2009
Archive 2009
MSRB Notice 2009-64
(December 21, 2009)
Amendment Filed to Pending Proposal on Underwriter Submission of Information About Continuing Disclosure Undertakings to EMMA
MSRB Notice 2009-63
(December 21, 2009)
Amendment Filed to Pending Proposal on Additional Voluntary Submissions by Issuers and Obligated Persons to EMMA
MSRB Notice 2009-62
(December 4, 2009)
Amendments Filed to Rule G-37 Regarding Contributions to Bond Ballot Campaigns
MSRB Notice 2009-61 (December 1, 2009)
Reminder of December 1, 2009 Effective Date of Amendments to Rule A-13 on Underwriting Assessments
MSRB Notice 2009-60 (November 24, 2009)
MSRB Primary Market and Continuing Disclosure Submission Services - Reminder of Upcoming Word-Searchable Document Requirement and Update on Other Submission-Related Matters
MSRB Notice 2009-59
(November 18, 2009)
Rule Amendments and Interpretive Notice Filed Regarding Priority of Orders in Primary Offerings
MSRB Notice 2009-58 (November 5, 2009)
Proposed Rule A-16 on Examination Fees
MSRB Notice 2009-57 (October 21, 2009)
Upcoming Changes to the Real-Time Transaction Reporting System
MSRB Notice 2009-56 (September 30, 2009)
Amendments to Rule A-13 on Underwriting Assessments
MSRB Notice 2009-55 (September 30, 2009)
Amendments Approved to Rules G-11 and G-12 Regarding Settlement Dates and Payments of Designations
MSRB Notice 2009-54 (September 29, 2009)
Reminder Notice on Fair Practice Duties to Issuers of Municipal Securities
MSRB Notice 2009-53 (September 22, 2009)
MSRB and SIFMA to Co-Host Regulatory and Compliance Seminars in New York and Chicago
MSRB Notice 2009-52 (September 22, 2009)
MSRB Hosts Webinar Series on Market Information Programs
MSRB Notice 2009-51 (September 16, 2009)
Request for Comment: Disclosure of Bank and Bank Holding Company Political Action Committee Contributions
Comments received are available for this notice. |
MSRB Notice 2009-50 (September 15, 2009)
Use of Electronic Confirmations Produced By a Clearing Agency or Qualified Vendor to Satisfy the Requirements of Rule G-15(a)
MSRB Notice 2009-49 (August 25, 2009)
Build America Bonds: Reminder of Customer Confirmation Yield Disclosure Requirement
MSRB Notice 2009-48 (August 13, 2009)
Amendment to Rule A-14, on Annual Fee
MSRB Notice 2009-47 (August 11, 2009)
Request for Comment Regarding Priority of Orders in Primary Offerings
Comments received are available for this notice. |
MSRB Notice 2009-46 (August 6, 2009)
Amendments to Rules G-11 and G-12 Filed with SEC
MSRB Notice 2009-45 (July 29, 2009)
Amendments Filed to Administrative Rules: Rules A-3, A-4, A-5 and A-6
MSRB Notice 2009-44 (July 15, 2009)
Proposals Filed to Provide for Additional Primary Market and Continuing Disclosure Information to Be Made Available Through EMMA
MSRB Notice 2009-43 (July 14, 2009)
Request for Comment on Additional Increases in Transparency of Municipal ARS and VRDO
Comments received are available for this notice. |
MSRB Notice 2009-42 (July 14, 2009)
MSRB Issues Interpretive Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities
MSRB Notice 2009-41 (July 10, 2009)
Applicability of MSRB Rules to California Registered Warrants
MSRB Notice 2009-40 (July 2, 2009)
Interpretive Letter Regarding Solicitation Activity on Behalf of an Affiliated Company Pursuant to Rules G-37 and G-38
MSRB Notice 2009-39 (July 1, 2009)
MSRB Launches the Continuing Disclosure Service of EMMA
MSRB Notice 2009-38 (June 30, 2009)
MSRB, FINRA Issue Joint Investor Education Notice
MSRB Notice 2009-37 (June 29, 2009)
Preparations by Issuers and Others for the July 1, 2009 Launch of the Continuing Disclosure Service of EMMA
MSRB Notice 2009-36
(June 25, 2009)
EMMA Dataport Submission System Outage on Friday, June 26, 2009 at 3:00 PM
MSRB Notice 2009-35 (June 22, 2009)
Comments Requested: Draft Amendments to Rule G-37 Regarding Bond Ballot Campaign Committee Contributions
Comments received are available for this notice. |
MSRB Notice 2009-34
(June 18, 2009)
MSRB Announces Webinars for Issuers on Continuing Disclosure Registration
MSRB Notice 2009-32 (June 11, 2009)
Final Specifications for the EMMA Continuing Disclosure Automated Submission Interface
MSRB Notice 2009-31
(June 10, 2009)
MSRB to Accept Voluntary Continuing Disclosures to EMMA
MSRB Notice 2009-30 (June 9, 2009)
Build America Bonds: Application of Rule G-37 to Solicitations of Issuers
MSRB Notice 2009-29 (June 4, 2009)
Webinars About the Business-to-Business Submission and Subscription Process for the Primary Market Disclosure Service of EMMA
MSRB Notice 2009-28 (June 1, 2009)
MSRB Establishes Electronic Official Statement Dissemination Standard under Rule G-32 and Launches Permanent Primary Market Disclosure Service of EMMA
MSRB Notice 2009-27 (June 1, 2009)
MSRB Launches Continuing Disclosure Pilot of EMMA
MSRB Notice 2009-26 (May 29, 2009)
MSRB Files to Terminate its CDINet System Effective July 1, 2009
MSRB Notice 2009-25 (May 28, 2009)
Webinars About the Submission Process for Advance Refunding Documents and 529 College Savings Plan Documents to EMMA
MSRB Notice 2009-24
(May 27, 2009)
MSRB Discontinues e-OS System
MSRB Notice 2009-23
(May 22, 2009)
MSRB to Launch Continuing Disclosure Pilot Service on EMMA
MSRB Notice 2009-22
(May 22, 2009)
SEC Approves Primary Market Disclosure Service on EMMA for Electronic Dissemination of Official Statements
MSRB Notice 2009-21 (May 13, 2009)
Webinars About the Submission Process for the Primary Market Disclosure Service of EMMA
MSRB Notice 2009-20 (May 12, 2009)
Request for Comment Regarding Settlement of Syndicate Accounts and Secondary Market Trading Accounts
Comments received are available for this notice. |
MSRB Notice 2009-19 (May 6, 2009)
Webinars About the Submission Process for the Continuing Disclosure Service of EMMA
MSRB Notice 2009-18 (May 6, 2009)
MSRB Updates Timing on Launch of New Services on EMMA
MSRB Notice 2009-17 (May 5, 2009)
Upcoming Enhancements to the SHORT System and Data Elements Clarification
MSRB Notice 2009-16
(April 28, 2009)
Notice of Filing of Amendment to Rule G-8, on Books and Records, Relating to ARS and VRDO
MSRB Notice 2009-15
(April 24, 2009)
MSRB Provides Guidance on Build America Bonds and Other Tax Credit Bonds
MSRB Notice 2009-14
(April 22, 2009)
MSRB Files EMMA Continuing Disclosure Subscription Service and Publishes Preliminary Specifications for Subscription and Document Submission Feeds
MSRB Notice 2009-13 (April 20, 2009)
MSRB and RBDA to Hold
Municipal Securities Seminar
on May 13, 2009
MSRB Notice 2009-12 (April 14, 2009)
MSRB Files to Allow Voluntary Continuing Disclosures on EMMA
MSRB Notice 2009-11 (March 27, 2009)
Reminder of April 1, 2009 Effective Date of MSRB Short System for Variable Rate Demand Obligations
MSRB Notice 2009-10 (March 25, 2009)
MSRB Files to Establish Pilot for EMMA’s Continuing Disclosure Service
MSRB Notice 2009-09 (March 24, 2009)
Final Specifications for the MSRB’s Electronic Municipal
Market Access System (“EMMA”) Primary Market Subscription Service
MSRB Notice 2009-08 (March 24, 2009)
Final Specifications for the MSRB’s Electronic Municipal
Market Access System (“EMMA”) Primary Market Automated Submission Interface
MSRB Notice 2009-07 (March 23, 2009)
MSRB Files for EMMA Primary Market Disclosure Service
MSRB Notice 2009-06 (
February 25, 2009)
MSRB Gateway Rollout and Training
MSRB Notice 2009-05 (January 28, 2009)
Reminder of January 30, 2009 Effective Date of MSRB SHORT System and New Location of SHORT System Web Service
MSRB Notice 2009-04 (January 9, 2009)
SEC Approves Proposal to Increase Transparency of Auction Rate Securities and Variable Rate Demand Obligations
MSRB Notice 2009-03 (January 7, 2009)
Recommendations Requested for Board Nominations
MSRB Notice 2009-02 (January 5, 2009)
MSRB Announces Availability of SHORT System Web User Interface
MSRB Notice 2009-01 (January 2, 2009)
MSRB Amends Proposal to Increase Transparency of Variable Rate Demand Obligations
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g-11_4_30_99
Amendment Approved Concerning Disclosure of Designation Information to Syndicate Members: Rule G-11(g)(iii)
On April 28, 1999, the Securities and Exchange Commission approved an amendment to rule G-11, on sales of new issue municipal securities during the underwriting period.1 The amendment makes clear that all information about designations paid to syndicate and non-syndicate members is to be provided to each syndicate member and that the designation information must be expressed in total dollar amounts. The amendment became effective upon approval.
More information about the amendment can be found in the notice entitled "Amendment Filed to Rule G-11(g)(iii) Concerning the Disclosure of Designation Information to Syndicate Members."
April 30, 1999
TEXT OF AMENDMENT2
Rule G-11. Sales of New Issue Municipal Securities During the Underwriting Period
(a) – (f) No change.
(g) Designations and Allocations of Securities. The senior syndicate manager shall:
(i)–(ii) No change.
(iii) disclose, in writing, totheeach membersof the syndicate, in writing,all available information on designations paid to syndicate and non-syndicate members expressed in total dollar amountsdesignation information to memberswithin 10 business days following the date of sale and all information about designations paid to syndicate and non-syndicate members expressed in total dollar amounts with the sending of the designation checks pursuant to rule G-12(k); and
(iv) No change.
(h) No change.
ENDNOTES
1. Sec. Exch. Act Rel. No. 41338 (April 28, 1999).
2. Underlining indicates new language; strikethrough denotes deletions.
Copyright 2000 Municipal Securities Rulemaking Board. All Rights Reserved. Terms and Conditions of Use.
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