Regulatory Documents

Select regulatory documents by category:

SEC Filing SR-MSRB-2018-04

Publication date: 06/08/2018

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Federal Register Notice of Immediately Effective Rule Change (June 26, 2018 )

SEC Approval Order (June 20, 2018 )

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Notice 2018-08 - Approval Notice

Publication date: 05/07/2018

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

SEC Filing SR-MSRB-2018-03

Publication date: 05/01/2018

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Federal Register Notice of Immediately Effective Rule Change (May 16, 2018 )

SEC Approval Order (May 10, 2018 )

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Notice 2018-07 - Regulatory Reminder

Publication date: 04/12/2018

Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-19, Rule G-30, Rule G-47

Notice 2018-06 - Informational Notice

Publication date: 04/04/2018

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

SEC Filing SR-MSRB-2018-02

Publication date: 04/02/2018

Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System

Federal Register Notice of Immediately Effective Rule Change (April 18, 2018 )

SEC Approval Order (April 12, 2018 )

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Notice 2018-05 -

Publication date: 03/19/2018

MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2018-04 - Informational Notice

Publication date: 03/13/2018

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

SEC Filing SR-MSRB-2018-01

Publication date: 01/24/2018

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

Federal Register Notice of Approval (May 10, 2018 )

SEC Approval Order (May 07, 2018 )

MSRB Response to Comments (April 30, 2018 )

SEC Request for Extension of Time (March 16, 2018 )

Federal Register Notice of Filing (February 07, 2018 )

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Notice 2018-02 - Informational Notice

Publication date: 01/08/2018

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource

Publication date: 01/03/2018

MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers

Rule Number:

Rule G-18, Rule G-43

Notice 2018-01 - Regulatory Reminder

Publication date: 01/03/2018

MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-43

Notice 2017-25 - Approval Notice

Publication date: 12/15/2017

MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

Notice 2017-24 - Approval Notice

Publication date: 12/08/2017

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2017-23 - Informational Notice

Publication date: 12/04/2017

MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2017-21 - Informational Notice

Publication date: 11/08/2017

MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Compliance Resource

Publication date: 11/01/2017

FAQs on Continuing Education Program Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3

SEC Filing SR-MSRB-2017-08

Publication date: 10/13/2017

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Federal Register Notice of Approval (December 14, 2017 )

SEC Approval Order (December 08, 2017 )

MSRB Response to Comments (December 01, 2017 )

Federal Register Notice of Filing (October 27, 2017 )

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Compliance Resource

Publication date: 10/01/2017

Developing a CE Needs Analysis and Written Training Plan

Information for:

Municipal Advisors

Rule Number:

Rule G-3

SEC Filing SR-MSRB-2017-07

Publication date: 09/29/2017

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

Federal Register Notice of Immediately Effective Rule Change (October 16, 2017 )

SEC Approval Order (October 10, 2017 )

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Notice 2017-20 - Informational Notice

Publication date: 09/29/2017

MSRB Amends Professional Fee for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2017-18 - Market Advisory

Publication date: 09/13/2017

Notice Removed

Compliance Resource

Publication date: 09/01/2017

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10

SEC Filing SR-MSRB-2017-06

Publication date: 08/30/2017

Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

Federal Register Notice of Approval (December 20, 2017 )

SEC Approval Order (December 14, 2017 )

MSRB Response to Comments (December 08, 2017 )

Federal Register Notice of Filing of Amendment No. 1 (November 17, 2017 )

Amendment No. 1 (November 07, 2017 )

MSRB Response to Comments (November 07, 2017 )

SEC Request for Extension of Time (October 18, 2017 )

Federal Register Notice of Filing (September 18, 2017 )

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Notice 2017-16 - Approval Notice

Publication date: 08/21/2017

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-21

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System

MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

MSRB Seeks Applicants for Board of Directors

MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers

MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers

MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support

MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam

FAQs on Continuing Education Program Requirements for Municipal Advisors

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Developing a CE Needs Analysis and Written Training Plan

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

MSRB Amends Professional Fee for Municipal Advisors

Notice Removed

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market