Municipal Securities Rulemaking Board (MSRB) Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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| Release Number:34-76443 | SEC Issue Date:Nov 16, 2015 | File Number:SR-MSRB-2015-12 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing See Also - Exhibit 5 |
| Release Number:34-76420 | SEC Issue Date:Nov 10, 2015 | File Number:SR-MSRB-2015-03 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of Amendment No. 2 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors View Received Comments See Also - Rel. No. 34-76753, Rel. No. 34-75737, Rel. No. 34-75628, Rel. No.34-74860 |
| Release Number:34-76381 | SEC Issue Date:Nov 6, 2015 | File Number:SR-MSRB-2015-09 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance View Received Comments See Also - Rel. No. 34-75932 |
| Release Number:34-76146 | SEC Issue Date:Oct 14, 2015 | File Number:SR-MSRB-2015-11 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i) View Received Comments See Also - Exhibit 5 |
| Release Number:34-75934 | SEC Issue Date:Sep 17, 2015 | File Number:SR-MSRB-2015-10 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions With Sophisticated Municipal Market Professionals, and Rule D-15, on the Definition of Sophisticated Municipal Market Professional View Received Comments |
| Release Number:34-75932 | SEC Issue Date:Sep 16, 2015 | File Number:SR-MSRB-2015-09 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance View Received Comments See Also - Exhibit 2, Exhibit 5, Rel. No. 34-76381 |
| Release Number:34-75751 | SEC Issue Date:Aug 24, 2015 | File Number:SR-MSRB-2015-08 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers View Received Comments See Also - Exhibit 5 |
| Release Number:34-75737 | SEC Issue Date:Aug 19, 2015 | File Number:SR-MSRB-2015-03 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of Amendment No. 1 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors View Received Comments See Also - Rel. No. 34-76753, Rel. No. 34-76420, Rel. No. 34-75628, Rel. No.34-74860 |
| Release Number:34-75646 | SEC Issue Date:Aug 7, 2015 | File Number:SR-MSRB-2015-07 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of a Proposed Rule Change Consisting of Revisions to the Content Outlines for the Municipal Fund Securities Limited Principal Qualification Examination, Municipal Securities Representative Qualification Examination and Municipal Securities Principal Qualification Examination and Revisions to the Selection Specifications for the Municipal Securities Principal Qualification Examination View Received Comments See Also - Exhibit 3A, Exhibit 3B, Exhibit 3C, Exhibit 3D |
| Release Number:34-75628 | SEC Issue Date:Aug 6, 2015 | File Number:SR-MSRB-2015-03 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors View Received Comments See Also - Rel. No. 34-76753, Rel. No. 34-76420, Rel. No. 34-75737, Rel. No.34-74860 |