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Archive 2009

MSRB Notice 2009-64 (December 21, 2009)
Amendment Filed to Pending Proposal on Underwriter Submission of Information About Continuing Disclosure Undertakings to EMMA

MSRB Notice 2009-63 (December 21, 2009)
Amendment Filed to Pending Proposal on Additional Voluntary Submissions by Issuers and Obligated Persons to EMMA

MSRB Notice 2009-62 (December 4, 2009)
Amendments Filed to Rule G-37 Regarding Contributions to Bond Ballot Campaigns

MSRB Notice 2009-61 (December 1, 2009)
Reminder of December 1, 2009 Effective Date of Amendments to Rule A-13 on Underwriting Assessments

MSRB Notice 2009-60 (November 24, 2009)
MSRB Primary Market and Continuing Disclosure Submission Services - Reminder of Upcoming Word-Searchable Document Requirement and Update on Other Submission-Related Matters

MSRB Notice 2009-59 (November 18, 2009)
Rule Amendments and Interpretive Notice Filed Regarding Priority of Orders in Primary Offerings

MSRB Notice 2009-58 (November 5, 2009)
Proposed Rule A-16 on Examination Fees

MSRB Notice 2009-57 (October 21, 2009)
Upcoming Changes to the Real-Time Transaction Reporting System

MSRB Notice 2009-56 (September 30, 2009)
Amendments to Rule A-13 on Underwriting Assessments

MSRB Notice 2009-55 (September 30, 2009)
Amendments Approved to Rules G-11 and G-12 Regarding Settlement Dates and Payments of Designations

MSRB Notice 2009-54 (September 29, 2009)
Reminder Notice on Fair Practice Duties to Issuers of Municipal Securities

MSRB Notice 2009-53 (September 22, 2009)
MSRB and SIFMA to Co-Host Regulatory and Compliance Seminars in New York and Chicago

MSRB Notice 2009-52 (September 22, 2009)
MSRB Hosts Webinar Series on Market Information Programs

MSRB Notice 2009-51 (September 16, 2009)
Request for Comment: Disclosure of Bank and Bank Holding Company Political Action Committee Contributions

Comments received are available for this notice.

MSRB Notice 2009-50 (September 15, 2009)
Use of Electronic Confirmations Produced By a Clearing Agency or Qualified Vendor to Satisfy the Requirements of Rule G-15(a)

MSRB Notice 2009-49 (August 25, 2009)
Build America Bonds: Reminder of Customer Confirmation Yield Disclosure Requirement

MSRB Notice 2009-48 (August 13, 2009)
Amendment to Rule A-14, on Annual Fee

MSRB Notice 2009-47 (August 11, 2009)
Request for Comment Regarding Priority of Orders in Primary Offerings

Comments received are available for this notice.

MSRB Notice 2009-46 (August 6, 2009)
Amendments to Rules G-11 and G-12 Filed with SEC

MSRB Notice 2009-45 (July 29, 2009)
Amendments Filed to Administrative Rules: Rules A-3, A-4, A-5 and A-6

MSRB Notice 2009-44 (July 15, 2009)
Proposals Filed to Provide for Additional Primary Market and Continuing Disclosure Information to Be Made Available Through EMMA

MSRB Notice 2009-43 (July 14, 2009)
Request for Comment on Additional Increases in Transparency of Municipal ARS and VRDO

Comments received are available for this notice.

MSRB Notice 2009-42 (July 14, 2009)
MSRB Issues Interpretive Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities

MSRB Notice 2009-41 (July 10, 2009)
Applicability of MSRB Rules to California Registered Warrants

MSRB Notice 2009-40 (July 2, 2009)
Interpretive Letter Regarding Solicitation Activity on Behalf of an Affiliated Company Pursuant to Rules G-37 and G-38

MSRB Notice 2009-39 (July 1, 2009)
MSRB Launches the Continuing Disclosure Service of EMMA

MSRB Notice 2009-38 (June 30, 2009)
MSRB, FINRA Issue Joint Investor Education Notice

MSRB Notice 2009-37 (June 29, 2009)
Preparations by Issuers and Others for the July 1, 2009 Launch of the Continuing Disclosure Service of EMMA

MSRB Notice 2009-36 (June 25, 2009)
EMMA Dataport Submission System Outage on Friday, June 26, 2009 at 3:00 PM

MSRB Notice 2009-35 (June 22, 2009)
Comments Requested: Draft Amendments to Rule G-37 Regarding Bond Ballot Campaign Committee Contributions

Comments received are available for this notice.

MSRB Notice 2009-34 (June 18, 2009)
MSRB Announces Webinars for Issuers on Continuing Disclosure Registration

MSRB Notice 2009-33 ( June 11, 2009)
Final Specifications for the EMMA Continuing Disclosure Subscription Service

MSRB Notice 2009-32 (June 11, 2009)
Final Specifications for the EMMA Continuing Disclosure Automated Submission Interface

MSRB Notice 2009-31 (June 10, 2009)
MSRB to Accept Voluntary Continuing Disclosures to EMMA

MSRB Notice 2009-30 (June 9, 2009)
Build America Bonds: Application of Rule G-37 to Solicitations of Issuers

MSRB Notice 2009-29 (June 4, 2009)
Webinars About the Business-to-Business Submission and Subscription Process for the Primary Market Disclosure Service of EMMA

MSRB Notice 2009-28 (June 1, 2009)
MSRB Establishes Electronic Official Statement Dissemination Standard under Rule G-32 and Launches Permanent Primary Market Disclosure Service of EMMA

MSRB Notice 2009-27 (June 1, 2009)
MSRB Launches Continuing Disclosure Pilot of EMMA

MSRB Notice 2009-26 (May 29, 2009)
MSRB Files to Terminate its CDINet System Effective July 1, 2009

MSRB Notice 2009-25 (May 28, 2009)
Webinars About the Submission Process for Advance Refunding Documents and 529 College Savings Plan Documents to EMMA

MSRB Notice 2009-24 (May 27, 2009)
MSRB Discontinues e-OS System

MSRB Notice 2009-23 (May 22, 2009)
MSRB to Launch Continuing Disclosure Pilot Service on EMMA

MSRB Notice 2009-22 (May 22, 2009)
SEC Approves Primary Market Disclosure Service on EMMA for Electronic Dissemination of Official Statements

MSRB Notice 2009-21 (May 13, 2009)
Webinars About the Submission Process for the Primary Market Disclosure Service of EMMA

MSRB Notice 2009-20 (May 12, 2009)
Request for Comment Regarding Settlement of Syndicate Accounts and Secondary Market Trading Accounts

Comments received are available for this notice.

MSRB Notice 2009-19 (May 6, 2009)
Webinars About the Submission Process for the Continuing Disclosure Service of EMMA

MSRB Notice 2009-18 (May 6, 2009)
MSRB Updates Timing on Launch of New Services on EMMA

MSRB Notice 2009-17 (May 5, 2009)
Upcoming Enhancements to the SHORT System and Data Elements Clarification

MSRB Notice 2009-16 (April 28, 2009)
Notice of Filing of Amendment to Rule G-8, on Books and Records, Relating to ARS and VRDO

MSRB Notice 2009-15 (April 24, 2009)
MSRB Provides Guidance on Build America Bonds and Other Tax Credit Bonds

MSRB Notice 2009-14 (April 22, 2009)
MSRB Files EMMA Continuing Disclosure Subscription Service and Publishes Preliminary Specifications for Subscription and Document Submission Feeds

MSRB Notice 2009-13 (April 20, 2009)
MSRB and RBDA to Hold Municipal Securities Seminar on May 13, 2009

MSRB Notice 2009-12 (April 14, 2009)
MSRB Files to Allow Voluntary Continuing Disclosures on EMMA

MSRB Notice 2009-11 (March 27, 2009)
Reminder of April 1, 2009 Effective Date of MSRB Short System for Variable Rate Demand Obligations

MSRB Notice 2009-10 (March 25, 2009)
MSRB Files to Establish Pilot for EMMA’s Continuing Disclosure Service

MSRB Notice 2009-09 (March 24, 2009)
Final Specifications for the MSRB’s Electronic Municipal Market Access System (“EMMA”) Primary Market Subscription Service

MSRB Notice 2009-08 (March 24, 2009)
Final Specifications for the MSRB’s Electronic Municipal Market Access System (“EMMA”) Primary Market Automated Submission Interface

MSRB Notice 2009-07 (March 23, 2009)
MSRB Files for EMMA Primary Market Disclosure Service

MSRB Notice 2009-06 ( February 25, 2009)
MSRB Gateway Rollout and Training

MSRB Notice 2009-05 (January 28, 2009)
Reminder of January 30, 2009 Effective Date of MSRB SHORT System and New Location of SHORT System Web Service

MSRB Notice 2009-04 (January 9, 2009)
SEC Approves Proposal to Increase Transparency of Auction Rate Securities and Variable Rate Demand Obligations

MSRB Notice 2009-03 (January 7, 2009)
Recommendations Requested for Board Nominations

MSRB Notice 2009-02 (January 5, 2009)
MSRB Announces Availability of SHORT System Web User Interface

MSRB Notice 2009-01 (January 2, 2009)
MSRB Amends Proposal to Increase Transparency of Variable Rate Demand Obligations

 

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Amendment Approved Concerning Disclosure of Designation Information to Syndicate Members: Rule G-11(g)(iii)

On April 28, 1999, the Securities and Exchange Commission approved an amendment to rule G-11, on sales of new issue municipal securities during the underwriting period.¹ The amendment makes clear that all information about designations paid to syndicate and non-syndicate members is to be provided to each syndicate member and that the designation information must be expressed in total dollar amounts. The amendment became effective upon approval.

More information about the amendment can be found in the notice entitled "Amendment Filed to Rule G-11(g)(iii) Concerning the Disclosure of Designation Information to Syndicate Members."

April 30, 1999

 

TEXT OF AMENDMENT²

Rule G-11. Sales of New Issue Municipal Securities During the Underwriting Period

(a) – (f) No change.

(g) Designations and Allocations of Securities. The senior syndicate manager shall:

(i)–(ii) No change.
(iii) disclose, in writing, to the each members of the syndicate , in writing, all available information on designations paid to syndicate and non-syndicate members expressed in total dollar amounts designation information to members within 10 business days following the date of sale and all information about designations paid to syndicate and non-syndicate members expressed in total dollar amounts with the sending of the designation checks pursuant to rule G-12(k); and
(iv) No change.

(h) No change.

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ENDNOTES

1. Sec. Exch. Act Rel. No. 41338 (April 28, 1999).

2. Underlining indicates new language; strikethrough denotes deletions.

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