Select regulatory documents by category:
Notice 2022-14 - Informational Notice
Publication date:
Information for:
Bank Dealers, Dealers, Municipal Advisors
Rule Number:
Notice 2022-06 - Informational Notice
Publication date:
Information for:
Dealers, Municipal Advisors
Notice 2022-03 - Informational Notice
Publication date:
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Information for:
Bank Dealers, Dealers, Issuers
Notice 2015-13 - Informational Notice
Publication date:
Information for:
Bank Dealers, Dealers, Municipal Advisors
Notice 2014-05 - Informational Notice
Publication date:
Information for:
Bank Dealers, Dealers, Municipal Advisors
Notice 2013-19 - Request for Comment
Publication date:
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Comment due:
Information for:
Bank Dealers, Dealers, Municipal Advisors
Rule Number:
1. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated September 20, 2013
2. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated September 20, 2013
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 20, 2013
4. U.S. Bancorp Investments, Inc.: E-mail from Herbert Neufeld dated August 19, 2013