Notices

Regulatory Notices

MSRB regulatory notices keep market participants informed of regulatory changes and provide guidance on the application of existing rules.

Sign up for Email Alerts Sign up to receive emails about regulatory notices.

Please visit Requests for Comment page to submit comments.
Title Stakeholders Publication Date Notice Number Rule Number Notice Type
Second Request for Comment on Draft Amendments to and Clarifications of MSRB Rule G-34, on Obtaining CUSIP Numbers
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers 6/01/2017 2017-11 Rule G-34 Request for Comment
SEC Approves Continuing Education Requirements for Municipal Advisors Municipal Advisors, Issuers 5/17/2017 2017-10 Rule G-3 , Rule G-8 Approval Notice
MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017 Municipal Advisors 5/08/2017 2017-09 Regulatory Announcement
Application of MSRB Rules to Solicitor Municipal Advisors Municipal Advisors, Issuers, General Public 5/04/2017 2017-08 Rule A-11 , Rule A-12 , Rule A-16 , 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 Informational Notice
MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions Municipal Securities Dealers 3/28/2017 2017-07 Rule G-12 , Rule G-15 Regulatory Announcement
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing Municipal Securities Dealers, Municipal Advisors 3/07/2017 2017-06 Rule A-18 Regulatory Announcement
Request for Comment on Draft Amendments to and Clarifications of MSRB Rule G-34, on Obtaining CUSIP Numbers
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers 3/01/2017 2017-05 Rule G-34 Request for Comment
Request for Comment on Draft Amendments to MSRB Rule G-21, on Advertising, and on Draft Rule G-40, on Advertising by Municipal Advisors
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors 2/16/2017 2017-04 Rule G-21 Request for Comment
SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules Municipal Securities Dealers, Municipal Advisors, Investors, General Public 1/18/2017 2017-03 Rule G-8 , Rule G-9 , Rule G-10 , Rule G-32 Regulatory Announcement
MSRB Seeks Applicants for Board of Directors Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 1/09/2017 2017-02 Informational Notice
Request for Comment on Draft Amendments to MSRB Rule G-26 on Customer Account Transfers
> Any available comments may be viewed here.
Municipal Securities Dealers, Investors 1/06/2017 2017-01 Rule G-26 Request for Comment
Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts Municipal Securities Dealers, Investors, General Public 12/01/2016 2016-29 Rule D-15 , Rule G-48 Regulatory Announcement
New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018 Municipal Securities Dealers, Investors, General Public 11/29/2016 2016-28 Rule G-15 , Rule G-30 Approval Notice
Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure Municipal Securities Dealers, Investors 11/22/2016 2016-27 Rule G-47 Regulatory Announcement
MSRB Announces the Effective Date of the Academic Historical Transaction Data Product Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 11/17/2016 2016-26 Regulatory Announcement