Municipal Securities Rulemaking Board (MSRB) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80327 | Mar 29, 2017 | SR-MSRB-2017-02 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of a Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, To Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-80699 |
| 34-79978 | Feb 6, 2017 | SR-MSRB-2017-01 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of a Proposed Rule Change To Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and To Rescind Paragraph (f), on Minimum Denominations, From MSRB Rule G-15 View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-80610 |
| 34-79801 | Jan 13, 2017 | SR-MSRB-2016-15 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and To Modernize Those Rules View Received Comments See Also - Exhibit 4, Exhibit 5, Rel. No. 34-79295 |
| 34-79347 | Nov 17, 2016 | SR-MSRB-2016-12 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to MSRB Rules G-15 and G-30 To Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and To Provide Guidance on Prevailing Market Price View Received Comments See Also - Exhibit 4, Exhibit 5 |
| 34-79295 | Nov 14, 2016 | SR-MSRB-2016-15 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of a Proposed Rule Change To Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and To Modernize Those Rules View Received Comments See Also - Exhibit 5, Rel. No. 34-79801 |
| 34-79239 | Nov 4, 2016 | SR-MSRB-2016-14 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees Related to the MSRB Academic Historical Transaction Data Product See Also - Exhibit 5 |
| 34-79225 | Nov 3, 2016 | SR-MSRB-2016-13 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum See Also - Exhibit 5 |
| 34-78826 | Sep 13, 2016 | SR-MSRB-2016-09 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish the MSRB Academic Historical Transaction Data Product View Received Comments |
| 34-78777 | Sep 7, 2016 | SR-MSRB-2016-12 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 To Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and To Provide Guidance on Prevailing Market Price View Received Comments See Also - Exhibit 5, Rel. No. 34-79347 |
| 34-78622 | Aug 22, 2016 | SR-MSRB-2016-11 | Municipal Securities Rulemaking Board (MSRB) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities See Also - Exhibit 5 |