2013 Filings with the SEC

SR-MSRB-2013-09 (December 24, 2013)
Proposed Rule Change Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (RTRS Facility); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements under G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40, and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12
    Amendment No. 1 (January 7, 2014)
    Federal Register Notice of Filing (January 14, 2014)
    SEC Approval Order (February 26, 2014)
    Federal Register Notice of Approval (March 4, 2014)

SR-MSRB-2013-08 (September 19, 2013)
Proposed Rule Change Consisting of Amendments to Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document
    Federal Register Notice of Filing (October 22, 2013)
    SEC Approval Order (December 5, 2013)
    Federal Register Notice of Approval (December 11, 2013)

SR-MSRB-2013-07 (September 17, 2013)  
Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance
    Federal Register Notice of Filing (October 22, 2013)
    SEC Request for Extension of Time (December 3, 2013)
    MSRB Comment Letter to SEC (January 14, 2014)
    SEC Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change (January 16, 2014)
    SEC Approval Order (March 7, 2014)
    Federal Register Notice of Approval (March 13, 2014)

SR-MSRB-2013-06 (July 3, 2013) (WITHDRAWN)
Proposed Rule Change Consisting of Amendments to MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members
    Federal Register Notice of Filing (July 24, 2013)    
    MSRB Comment Letter to SEC (September 6, 2013)
    SEC Request for Extension of Time (September 6, 2013)
    MSRB Withdrawal of Filing (October 4, 2013)
    Federal Register Notice of Withdrawal (October 22, 2013) 

SR-MSRB-2013-05 (June 17, 2013)
Proposed Rule Change Consisting of Amendments to MSRB Rules G-8, on Books and Records, G-11, on Primary Offering Practices, and G-32, on Disclosures in Connection with Primary Offerings, and Conforming Changes to Form G-32, Regarding Retail Order Period Requirements
     Federal Register Notice of Filing (June 28, 2013)
     SEC Request for Extension of Time No. 1 (August 9, 2013)
     SEC Request for Extension of Time No. 2 (August 28, 2013)
     Amendment No. 1 (September 6, 2013)
     SEC Request for Extension of Time No. 3 (September 6, 2013) 
     MSRB Comment Letter to SEC (September 6, 2013)
     SEC Approval Order (September 26, 2013)
     Federal Register Notice of Approval (October 2, 2013)

SR-MSRB-2013-04 (June 10, 2013)
Proposed Rule Change Consisting of New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities, and Form G-45, and Amendments to Rules G-8, on Books and Records, and G-9, on Preservation of Records
    Federal Register Notice of Filing (June 28, 2013)
    SEC Request for Extension of Time (August 9, 2013)
    SEC Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change (September 26, 2013)
    SEC Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change (December 19, 2013)
    Amendment No. 1 (January 14, 2014)
    MSRB Comment Letter to SEC (January 14, 2014)
    SEC Approval Order (February 21, 2014)
    Federal Register Notice of Approval (February 27, 2014)

SR-MSRB-2013-03 (March 1, 2013)
Proposed Rule Change to Simplify or Eliminate Certain Data Elements Required to Complete MSRB Form RTRS
    SEC Approval Order (March 8, 2013)
    Federal Register Notice of Filing and Immediate Effectiveness (March 14,   2013)   

SR-MSRB-2013-02 (February 11, 2013)
Proposed Amendments to Rule G-39, on Telemarketing
    Federal Register Notice of Filing (March 4, 2013)
    SEC Request for Extension of Time (April 1, 2013)
    SEC Approval Order (May 24, 2013)
    Federal Register Notice of Approval (May 30, 2013)

SR-MSRB-2013-01 (February 4, 2013)
Proposed Amendments to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, Rule G-8, on Books and Records, and Form G-37 Relating to Contributions to Bond Ballot Campaigns
    Federal Register Notice of Filing (February 14, 2013)
    SEC Approval Order (March 28, 2013)
    Federal Register Notice of Approval (April 3, 2013)

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