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:34-95075 | SEC Issue Date:Jun 9, 2022 | File Number:SR-MSRB-2022-03 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 3, Exhibit 5 |
| Release Number:34-94850 | SEC Issue Date:May 4, 2022 | File Number:SR-MSRB-2022-02 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 2, Exhibit 5 Submit a Comment on SR-MSRB-2022-02 |
| Release Number:34-94383 | SEC Issue Date:Mar 9, 2022 | File Number:SR-MSRB-2022-01 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Regulatory Relief and Permit Dealers To Conduct Office Inspections Remotely Until December 31, 2022 Pursuant to MSRB Rule G-27, on Supervision Comments Due: April 5, 2022 See Also - Exhibit 5 Submit a Comment on SR-MSRB-2022-01
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| Release Number:34-93435 | SEC Issue Date:Oct 27, 2021 | File Number:SR-MSRB-2021-06 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Regulatory Relief and Permit Dealers To Conduct Office Inspections Remotely Until June 30, 2022, Pursuant to MSRB Rule G-27, on Supervision Comments Due: November 23, 2021 See Also - Exhibit 5 |
| Release Number:34-93261 | SEC Issue Date:Oct 5, 2021 | File Number:SR-MSRB-2021-04 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and MSRB Rule G-48, on Transactions With Sophisticated Municipal Market Professionals, To Amend Certain Dealer Obligations Comments Due: November 10, 2021 View Received Comments See Also - Exhibit 4, Exhibit 5 |
| Release Number:34-92938 | SEC Issue Date:Sep 10, 2021 | File Number:SR-MSRB-2021-05 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Further Extension of Time To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements Comments Due: October 7, 2021 See Also - Exhibit 5 |
| Release Number:34-92677 | SEC Issue Date:Aug 16, 2021 | File Number:SR-MSRB-2021-04 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions With Sophisticated Municipal Market Professionals, To Amend Certain Dealer Obligations Comments Due: September 10, 2021 View Received Comments See Also - Exhibit 2, Exhibit 5 |
| Release Number:34-91958 | SEC Issue Date:May 20, 2021 | File Number:SR-MSRB-2021-03 | 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-8 and the By-Laws of the Municipal Securities Rulemaking Board To Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions Comments Due: June 16, 2021 See Also - Exhibit 5 |
| Release Number:34-91247 | SEC Issue Date:Mar 3, 2021 | File Number:SR-MSRB-2021-02 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees Under MSRB Rule A-13 Comments Due: March 30, 2021 See Also - Exhibit 5 |
| Release Number:34-91175 | SEC Issue Date:Feb 22, 2021 | File Number:SR-MSRB-2021-01 | SRO Organization:Municipal Securities Rulemaking Board (MSRB) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Compliance Date of Amended Form G-32 Comments Due: March 19, 2021 |