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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Title Stakeholders Publication Date Notice Number Rule Number Notice Type
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing Municipal Securities Dealers, Municipal Advisors 3/13/2019 2019-09 Rule A-18 Informational Notice
Request for Comment on MSRB Rule G-34 Obligation of Municipal Advisors to Apply for CUSIP Numbers When Advising on Competitive Sales
> Any available comments may be viewed here.
Municipal Advisors 2/27/2019 2019-08 Rule G-34 Request for Comment
MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments Municipal Securities Dealers, Municipal Advisors 2/26/2019 2019-07 Rule G-21 , Rule G-40 Informational Notice
MSRB Amends Rule A-16 on Examination Fees Municipal Advisors 2/11/2019 2019-06 Rule A-16 Informational Notice
MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution Municipal Securities Dealers 2/07/2019 2019-05 Rule G-18 Interpretive Guidance
MSRB Identifies Priority Rules for Retrospective Review in 2019 Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 2/05/2019 2019-04 Informational Notice
MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40 Municipal Securities Dealers, Municipal Advisors 1/28/2019 2019-03 Rule G-21 , Rule G-40 Informational Notice
MSRB Solicits Applicants for Board of Directors Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 1/07/2019 2019-02 Informational Notice
Request for Comment on Draft Interpretive Guidance on Application of MSRB Rules to Certain Prearranged Trading in Connection with Primary Offerings
> Any available comments may be viewed here.
Municipal Securities Dealers, Issuers, Investors 1/03/2019 2019-01 Rule G-11 , Rule G-17 , Rule G-25 Request for Comment
MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54) Municipal Advisors 12/20/2018 2018-33 Rule G-3 Informational Notice
MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 Municipal Advisors 12/19/2018 2018-32 Rule G-40 Informational Notice
SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs Municipal Securities Dealers 12/13/2018 2018-31 Rule G-45 Approval Notice
SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination Municipal Advisors 11/28/2018 2018-30 Rule G-3 Approval Notice
Request for Comment on Draft Amendments to 2012 Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors 11/16/2018 2018-29 Rule G-17 Request for Comment
Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website Municipal Securities Dealers, Municipal Advisors, Issuers 11/08/2018 2018-28 Regulatory Reminder