Resources

The MSRB supports regulatory compliance by providing checklists, sample templates, rule summaries and other educational material about municipal market regulations. Resources relevant to each MSRB rule are also available in the "Access Compliance Resources" tab of the rule. Learn more about the types of compliance information the MSRB provides.

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Compliance Calendar

 MSRB    
View the MSRB's Compliance Calendar for a look at upcoming important dates and events for municipal securities dealers and municipal advisors.


How We Support Compliance


Municipal Advisor Compliance Resources

  • Organizational Change Checklist
    This resource provides a checklist of questions regulated entities may wish to consider when contacting MSRB Support in advance of an upcoming organizational change, such as a reorganization or a merger or acquisition, that may result in a change to their registration status with the MSRB.
  • Municipal Advisor Compliance Advisory (August 2018)
    This resource is intended to assist municipal advisors with understanding MSRB rules and provides examples of compliance considerations. Also see previous municipal advisor compliance advisories by year: 2017 | 2016.

Dealer Compliance Resources

  • Organizational Change Checklist
    This resource provides a checklist of questions regulated entities may wish to consider when contacting MSRB Support in advance of an upcoming organizational change, such as a reorganization or a merger or acquisition, that may result in a change to their registration status with the MSRB.
  • Information on Exemptive Relief under MSRB Rule G-37
    This page contains information to assist dealers with guidance on the scope and limitations of exemptive relief available under MSRB Rule G-37, including summaries of letters from FINRA that respond to applications for exemption. The letters are intended to help dealers understand the decision to grant or deny exemptive relief.

Help with Reporting Obligations

EMMA Resources

Being a Regulated Municipal Advisor