2016 Filings with the SEC

SR-MSRB-2016-15 (November 1, 2016)Updated
Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

SR-MSRB-2016-14 (October 25, 2016)
Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product

SR-MSRB-2016-13 (October 24, 2016)
Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum
(Refiled to make technical changes, original filed on October 14, 2016)

SR-MSRB-2016-12 (September 1, 2016)
Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price 

SR-MSRB-2016-11 (August 12, 2016)
Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities

SR-MSRB-2016-10 (August 4, 2016)
Proposed Rule Change to Clarify an Existing Requirement in Rule G-37 Regarding the Two-Year Look-Back

SR-MSRB-2016-09 (June 30, 2016)
Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

SR-MSRB-2016-08 (June 15, 2016)
Filing of Revisions to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

SR-MSRB-2016-07 (May 11, 2016)
Proposed Rule Change Consisting of Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities

SR-MSRB-2016-06 (May 5, 2016)
Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

SR-MSRB-2016-05 (March 2, 2016)
Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting

SR-MSRB-2016-04 (March 1, 2016)
Proposed Rule Change to Amend Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle

SR-MSRB-2016-03 (February 23, 2016)
Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice

SR-MSRB-2016-02 (January 22, 2016)
Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program

SR-MSRB-2016-01 (January 15, 2016)
Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board