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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-8 Rulemaking Procedures Dealers, Municipal Advisors
Rule A-11 Assessments for Municipal Advisor Professionals
Municipal Advisors
Rule A-12 Registration
Dealers
Rule A-13 Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Dealers, Bank Dealers, Municipal Fund Securities
Rule A-16 Examination Fees Dealers, Municipal Advisors, Bank Dealers
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
Rule D-8 "Bank Dealer" Dealers, Bank Dealers
Rule D-9 "Customer" Dealers, Bank Dealers
Rule D-10 "Discretionary Account" Dealers, Bank Dealers
Rule D-11 "Associated Persons"
Dealers, Municipal Advisors, Bank Dealers
Rule D-13 "Municipal Advisory Activities" Municipal Advisors
Rule D-14 "Appropriate Regulatory Agency" Dealers, Municipal Advisors, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule A-8
Last Updated: No amendment history
Rulemaking Procedures
Rule for:

Dealers, Municipal Advisors

Status:
Rule A-11
Last Updated: 08/09/2022
Assessments for Municipal Advisor Professionals
Rule for:

Municipal Advisors

Status:
SEC Filing
Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11
View SEC Filing
SEC Filing
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN) 
View SEC Filing
Notice
MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees
View Notice
Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
View Notice
Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
View Notice
Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers

Status:
Request for Comment
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
View Notice
Rule A-13
Last Updated: 08/09/2022
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
SEC Filing
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN) 
View SEC Filing
Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
View Notice
Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
View Notice
Rule A-16
Last Updated: No amendment history
Examination Fees
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule A-18
Last Updated: No amendment history
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
View Notice
Rule D-8
Last Updated: No amendment history
"Bank Dealer"
Rule for:

Dealers, Bank Dealers

Status:
Rule D-9
Last Updated: No amendment history
"Customer"
Rule for:

Dealers, Bank Dealers

Status:
Rule D-10
Last Updated: No amendment history
"Discretionary Account"
Rule for:

Dealers, Bank Dealers

Status:
Rule D-11
Last Updated: No amendment history
"Associated Persons"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Guidance
FAQs regarding the Use of Social Media under MSRB Rule G-21, on Advertising by Brokers, Dealers or Municipal Securities Dealers, and MSRB Rule G-40, on Advertising by Municipal Advisors
View Guidance
Rule D-13
Last Updated: No amendment history
"Municipal Advisory Activities"
Rule for:

Municipal Advisors

Status:
Rule D-14
Last Updated: No amendment history
"Appropriate Regulatory Agency"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule D-15
Last Updated: No amendment history
Sophisticated Municipal Market Professional
Rule for:

Dealers, Bank Dealers

Status: