Regulatory Documents

Select regulatory documents by category:

Notice 2017-15 - Approval Notice

Publication date: 07/31/2017

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

Notice 2017-14 - Market Advisory

Publication date: 07/27/2017

Notice Removed

SEC Filing SR-MSRB-2017-05

Publication date: 07/19/2017

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

MSRB Response to Comments (September 14, 2017 )

Federal Register Notice of Immediately Effective Rule Change (August 04, 2017 )

SEC Approval Order (July 31, 2017 )

Read More Show Less

Notice 2017-13 - Informational Notice

Publication date: 07/13/2017

MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-42

Notice 2017-12 - Informational Notice

Publication date: 07/12/2017

MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price

Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-15, Rule G-30

SEC Filing SR-MSRB-2017-04

Publication date: 06/22/2017

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

Federal Register Notice of Approval (August 24, 2017 )

SEC Approval Order (August 18, 2017 )

Amendment No. 1 (August 09, 2017 )

MSRB Response to Comments (August 09, 2017 )

Federal Register Notice of Filing (July 07, 2017 )

Read More Show Less

Compliance Resource

Publication date: 06/01/2017

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

Information for:

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

Rule Number:

Rule G-8

SEC Filing SR-MSRB-2017-03

Publication date: 05/26/2017

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

Federal Register Notice of Approval (August 02, 2017 )

SEC Approval Order (July 27, 2017 )

Amendment No. 1 (July 20, 2017 )

MSRB Response to Comments (July 20, 2017 )

Federal Register Notice of Filing (June 14, 2017 )

Read More Show Less

Notice 2017-10 - Approval Notice

Publication date: 05/17/2017

SEC Approves Continuing Education Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

Notice 2017-09 - Informational Notice

Publication date: 05/08/2017

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Compliance Resource

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-42

Notice 2017-08 - Informational Notice

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

Notice 2017-07 - Informational Notice

Publication date: 03/28/2017

MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-15

SEC Filing SR-MSRB-2017-02

Publication date: 03/22/2017

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

Federal Register Notice of Approval (May 22, 2017 )

SEC Approval Order (May 16, 2017 )

MSRB Response to Comment (May 10, 2017 )

Federal Register Notice of Filing (April 04, 2017 )

Read More Show Less

Notice 2017-06 - Informational Notice

Publication date: 03/07/2017

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 (WITHDRAWN) SR-MSRB-2017-01

Publication date: 01/24/2017

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15

Federal Register Notice of Withdrawal (May 11, 2017 )

MSRB Withdrawal of Filing (May 01, 2017 )

SEC Request for Extension of Time (March 21, 2017 )

Federal Register Notice of Filing (February 09, 2017 )

Read More Show Less

Notice 2017-03 - Informational Notice

Publication date: 01/18/2017

SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10, Rule G-32

Notice 2017-02 - Informational Notice

Publication date: 01/09/2017

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource

Publication date: 01/01/2017

Considerations for Developing a Municipal Advisory Supervisory System and Compliance Program

Information for:

Municipal Advisors

Rule Number:

Rule G-44

Compliance Resource

Publication date: 12/07/2016

MSRB Form G-32

Information for:

Dealers, Investors

Rule Number:

Rule G-32

Notice 2016-29 - Informational Notice

Publication date: 12/01/2016

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-48, Rule D-15

Notice 2016-28 - Approval Notice

Publication date: 11/29/2016

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2016-27 - Informational Notice

Publication date: 11/22/2016

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-47

Notice 2016-26 - Informational Notice

Publication date: 11/17/2016

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

Information for:

Bank Dealers, Dealers, Municipal Advisors

SEC Filing SR-MSRB-2016-15

Publication date: 11/01/2016

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

Federal Register Notice of Approval (January 23, 2017 )

SEC Approval Order (January 13, 2017 )

MSRB Response to Comments (January 10, 2017 )

Amendment No. 1 (January 10, 2017 )

SEC Request for Extension of Time (December 13, 2016 )

Federal Register Notice of Filing (November 18, 2016 )

Read More Show Less

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

Notice Removed

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios

MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

SEC Approves Continuing Education Requirements for Municipal Advisors

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Application of MSRB Rules to Solicitor Municipal Advisors

Application of MSRB Rules to Solicitor Municipal Advisors

MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

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

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15

SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules

MSRB Seeks Applicants for Board of Directors

Considerations for Developing a Municipal Advisory Supervisory System and Compliance Program

MSRB Form G-32

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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