Notices

MSRB Notices

Types of notices include approval notices, concept proposals, informational notices, interpretive guidance, market advisories, regulatory reminders and requests for comment. 


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Please visit Requests for Comment page to submit comments.
Title Stakeholders Publication Date Notice Number Rule Number Notice Type
Request for Comment on Draft MSRB Rule G-36, on Discretionary Transactions in Customer Accounts, and Related Draft Amendments
> Any available comments may be viewed here.
Municipal Securities Dealers, Investors 5/16/2018 2018-09 Rule D-10 , Rule G-8 , Rule G-36 Request for Comment
SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors Municipal Securities Dealers, Municipal Advisors 5/07/2018 2018-08 Rule G-21 , Rule G-40 Approval Notice
Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities Municipal Securities Dealers 4/12/2018 2018-07 Rule G-15 , Rule G-19 , Rule G-30 , Rule G-47 Regulatory Reminder
MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements Municipal Securities Dealers, Investors 4/04/2018 2018-06 Rule G-15 , Rule G-30 Informational Notice
MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price Municipal Securities Dealers, Investors 3/19/2018 2018-05 Rule G-15 , Rule G-30 Interpretive Guidance
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing Municipal Securities Dealers, Municipal Advisors 3/13/2018 2018-04 Rule A-18 Informational Notice
Request for Input on Draft Frequently Asked Questions Regarding Rule G-42 and the Making of Recommendations
> Any available comments may be viewed here.
Municipal Advisors 2/15/2018 2018-03 Rule G-42 Request for Comment
MSRB Seeks Applicants for Board of Directors Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 1/08/2018 2018-02 Informational Notice
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers Municipal Securities Dealers, Investors 1/03/2018 2018-01 Rule G-18 , Rule G-43 Regulatory Reminder
MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements Municipal Securities Dealers, Municipal Advisors, Issuers 12/15/2017 2017-25 Rule G-34 Approval Notice
SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans Municipal Securities Dealers, Issuers 12/08/2017 2017-24 Rule G-45 Approval Notice
MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 12/04/2017 2017-23 Informational Notice
MSRB Seeks Input on Compliance Support [Comment deadline extended]
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 11/16/2017 2017-22 Request for Comment
MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam Municipal Securities Dealers 11/08/2017 2017-21 Rule G-3 Informational Notice
MSRB Amends Professional Fee for Municipal Advisors Municipal Advisors 9/29/2017 2017-20 Rule A-11 Informational Notice