2014 Filings with the SEC

SR-MSRB-2014-09 (November 25, 2014)
Proposed Rule Change Consisting of Amendments to MSRB's Electronic Municipal Market Access (EMMA) System to Add Disclosures Related to Municipal Asset-Backed Securities
    Read the rule text
    SEC Approval Order (December 1, 2014)
    Federal Register Notice of Immediately Effective Rule Change (December 5, 2014)

SR-MSRB-2014-08 (November 18, 2014)
Proposed Rule Change Consisting of Amendments to Rule G-1, on Separately Identifiable Department or Division of a Bank; Rule G-2, on Standards of Professional Qualification; Rule G-3, on Professional Qualification Requirements; and Rule D-13, on Municipal Advisory Activities
    Read the rule text
    Federal Register Notice of Filing (December 5, 2014)
    SEC Request for Extension of Time (January 7, 2015)
    SEC Request for Extension of Time (January 30, 2015)
    Amendment No. 1 (February 5, 2015)
    MSRB Comment Letter to SEC (February 5, 2015)
    MSRB Letter to SEC about Amendment No. 1 (February 5, 2015)
    SEC Request for Extension of Time (February 12, 2015)
    MSRB Comment Letter to SEC (February 20, 2015)
    Amendment No. 2 (February 25, 2015)
    MSRB Letter to SEC about Amendment No. 2 (February 25, 2015)
    SEC Approval Order (February 26, 2015)
    Federal Register Notice of Approval (March 4, 2015)

SR-MSRB-2014-07 (August 20, 2014)
Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals ("SMMP"), and Rule D-15, on the Definition of SMMP
    Federal Register Notice of Filing (September 8, 2014)
    SEC Request for Extension of Time (October 23, 2014)
    MSRB Comment Letter to SEC (November 21, 2014)
    SEC Approval Order (December 5, 2014)
    Federal Register Notice of Approval (December 11, 2014)

SR-MSRB-2014-06 (July 24, 2014)
Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
    Federal Register Notice of Filing (August 5, 2014)
    SEC Request for Extension of Time (September 10, 2014)
    SEC Request for Extension of Time (October 9, 2014)
    Amendment No. 1 (October 17, 2014)
    MSRB Comment Letter to SEC (October 17, 2014)
    MSRB Letter to SEC about Amendment No. 1 (October 17, 2014)
    SEC Approval Order (October 23, 2014)
    Federal Register Notice of Approval (October 29, 2014)

SR-MSRB-2014-05 (July 22, 2014)
Proposed Rule Change Consisting of Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements
    Federal Register Notice of Filing (August 5, 2014)
    SEC Request for Extension of Time (September 3, 2014)
    SEC Request for Extension of Time (September 29, 2014)
    MSRB Comment Letter to SEC (October 3, 2014)
    SEC Approval Order (October 15, 2014)
    Federal Register Notice of Approval (October 21, 2014)

SR-MSRB-2014-04 (June 6, 2014)
Proposed Rule Change Consisting of Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision
    Federal Register Notice of Filing (June 24, 2014)
    SEC Approval Order (August 1, 2014)
    Federal Register Notice of Approval (August 7, 2014)

SR-MSRB-2014-03 (April 17, 2014)
New Rule A-11, on Assessments for Municipal Advisor Professionals
    SEC Approval Order (April 25, 2014)
    Federal Register Notice of Immediately Effective Rule Change (May 1, 2014)

SR-MSRB-2014-02 (February 28, 2014)
Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-time Transaction Reporting System, and Short-Term Obligation Rate Transparency System
    SEC Approval Order (March 11, 2014)
    Federal Register Notice of Immediately Effective Rule Change (March 17, 2014)

SR-MSRB-2014-01 (January 29, 2014)
Proposed Rule Change Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions
    Federal Register Notice of Filing (February 19, 2014)
    SEC Request for Extension of Time (April 4, 2014)
    SEC Request for Extension of Time (April 22, 2014)
    Amendment No. 1 (April 29, 2014)
    MSRB Comment Letter to SEC (April 29, 2014)
    MSRB Letter to SEC about Amendment No. 1 (April 29, 2014)
    SEC Approval Order (May 8, 2014)
    Federal Register Notice of Approval (May 14, 2014)

 

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