Notices

Regulatory Notices

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

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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 3/07/2017 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
MSRB Seeks Input on Strategic Priorities
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 10/12/2016 2016-25 Request for Comment
Request for Comment on Draft Provisions to Establish a Continuing Education Requirement for Municipal Advisors
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 9/30/2016 2016-24 Rule G-3 Request for Comment
Second Request for Comment on Draft Provisions on Minimum Denominations
> Any available comments may be viewed here.
Municipal Securities Dealers, Issuers, Investors, General Public 9/27/2016 2016-23 Rule G-15 Request for Comment
SEC Approves MSRB Academic Historical Transaction Data Product Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 9/14/2016 2016-22 Approval Notice
SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures Municipal Securities Dealers 8/19/2016 2016-21 Rule G-12 Approval Notice