Recent SEC Filings

The MSRB files changes to its rules with the Securities and Exchange Commission for review and approval. These filings, as well as related documents such as amendments to filings, MSRB comment letters and SEC approval orders also are available. View filings and associated documents from the last 30 days in the table below. To see earlier filings, click on a year listed below the table.

Title File Number Rule Number Filing Type Date
Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings SR-MSRB-2019-07 Rule G-11
Rule G-32
Filing 3/21/2019
Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers SR-MSRB-2019-06 Rule A-13 Filing 3/14/2019
Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records SR-MSRB-2019-05 Rule G-21
Rule G-40
Rule G-8
Filing 2/26/2019
SEC Approval Order SR-MSRB-2019-05 Rule G-21
Rule G-40
Rule G-8
SEC Approval Order 2/28/2019
Federal Register Notice of Immediately Effective Rule Change SR-MSRB-2019-05 Rule G-21
Rule G-40
Rule G-8
Federal Register Publication 3/06/2019
Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules SR-MSRB-2019-04 Rule G-21
Rule G-40
Filing 2/26/2019
SEC Approval Order SR-MSRB-2019-04 Rule G-21
Rule G-40
SEC Approval Order 2/28/2019
Federal Register Notice of Immediately Effective Rule Change SR-MSRB-2019-04 Rule G-21
Rule G-40
Federal Register Publication 3/06/2019
Proposed Rule Change to the MSRB's Short-Term Obligation Rate Transparency (SHORT) System Information Facility SR-MSRB-2019-03 IF-2 Filing 2/25/2019
SEC Approval Order SR-MSRB-2019-03 IF-2 SEC Approval Order 2/27/2019
Federal Register Notice of Immediately Effective Rule Change SR-MSRB-2019-03 IF-2 Federal Register Publication 3/05/2019

Filings by Year

View SEC filings and associated documents by year.