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
Reminder of Appropriate Transaction Reporting Procedures for Transactions Effected by Dealers Using Clearing Brokers 1/09/2001 2001-01 Rule G-8 , Rule G-14 , Rule G-15 Regulatory Announcement
Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission 1/19/2001 2001-02 Rule A-13 , Rule D-12 , Rule G-3 , Rule G-8 , Rule G-14 , Rule G-15 , Rule G-26 , Rule G-32 , Rule G-34 Regulatory Announcement
Approval of Amendments to Rule G-38, on Consultants, Rule G-8, on Books and Records, and Revisions to Section IV of Form G-37/G-38 and the Attachment Page to the Form 1/30/2001 2001-03 Rule G-8 , Rule G-38 Regulatory Announcement
Self-Monitoring of Rule G-14 Compliance 2/01/2001 2001-04 Rule G-14 Regulatory Announcement
Recommendations Requested for Board Nominations 2/02/2001 2001-05 Regulatory Announcement
Release of Monthly Statistical Summaries of Transactions in the Municipal Securities Market 2/13/2001 2001-06 Regulatory Announcement
Notice Concerning Locked-In Transactions 3/01/2001 2001-07 Rule G-12 , Rule G-14 Regulatory Announcement
MSRB Outreach Meeting 3/16/2001 2001-09 Regulatory Announcement
MSRB Review of Rule G-37, on Political Contributions 4/09/2001 2001-14 Rule G-37 Regulatory Announcement
MSRB’s New Address and Phone Number as of May 7, 2001 4/23/2001 2001-15 Regulatory Announcement
Revised Forms Containing MSRB’s New Address 4/30/2001 2001-16 Regulatory Announcement
Question and Answer Notice: Rules G-37 and G-38 6/06/2001 2001-20 Rule G-37 , Rule G-38 Regulatory Announcement
Electronic Submission of Official Statements, Advance Refunding Documents and Forms G-36(OS) and G-36(ARD) to the MSRB 6/11/2001 2001-21 Regulatory Announcement
In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement 6/13/2001 2001-22 Rule G-3 , Rule G-8 , Rule G-9 , Rule G-27 Regulatory Announcement
Notice Concerning Flat Transaction Fees 6/13/2001 2001-23 Rule G-15 Regulatory Announcement
Municipal Fund Securities – Qualification of Municipal Securities Principals and Application of MSRB Rules to Fees, Disclosure and Other Market Practices 7/05/2001 2001-24 Rule G-3 Regulatory Announcement
Dissemination of Official Statements and Advance Refunding Documents By Issuers and Dealers from 1998 to 2000 7/11/2001 2001-26 Rule G-32 Regulatory Announcement
The MSRB and The Muni Council Announce a Long-Range Planning Session on the Municipal Securities Market Disclosure System 7/25/2001 2001-27 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar 9/26/2001 2001-28 Regulatory Announcement
SEC Approval of In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement 8/08/2001 2001-29 Regulatory Announcement
SEC Approval of Electronic Submission System Under Rule G-36 8/08/2001 2001-30 Regulatory Announcement
Public Reporting of Transaction In Municipal Securities: Rule G-14 8/17/2001 2001-31 Rule G-14 Regulatory Announcement
Board Elects Officers 9/10/2001 2001-32 Regulatory Announcement
Municipal Market Activity - Tuesday, September 11 - Thursday, September 13, 2001 9/13/2001 2001-33 Regulatory Announcement
Municipal Market Activity - Thursday, September 13, 2001 9/14/2001 2001-34 Regulatory Announcement
Municipal Market Activity - Dealer - Dealer Trading (September 11-13, 2001) 9/14/2001 2001-35 Regulatory Announcement
MSRB and TBMA to Hold Compliance Seminar on November 13, 2001 9/26/2001 2001-36 Regulatory Announcement
Public Reporting of Transactions in Municipal Securities: Rule G-14 10/04/2001 2001-37 Rule G-14 Regulatory Announcement
Daily Comprehensive Report Will Be Available Beginning on November 1, 2001 10/15/2001 2001-38 Regulatory Announcement
Proposed Rule Change Concerning Minimum Denominations Filed with the Securities and Exchange Commission 10/16/2001 2001-39 Rule G-8 , Rule G-15 , Rule G-17 Regulatory Announcement
MSRB Begins Production of Daily Comprehensive Report 11/01/2001 2001-40 Regulatory Announcement
Proposed Rule Change Filed Concerning Official Communications 11/06/2001 2001-41 Rule G-8 , Rule G-15 Regulatory Announcement
Activities by Dealers and Municipal Finance Professionals During Transition Periods for Elected Issuer Officials 11/21/2001 2001-42 Rule G-37 Regulatory Announcement
MSRB Interpretive Letter - Rules G-21, G-30 and G-32 12/11/2001 2001-43 Rule G-30 Interpretive Letter
Amendments to Rule A-4, on Meetings of the Board 12/13/2001 2001-44 Rule A-4 Regulatory Announcement
The Application of Rules G-32 and G-36 to New Issue Offerings Through Auction Procedures 3/26/2001 2001-10 Rule G-32 Interpretive Notice
MSRB Board Elects Officers 9/10/2001 Regulatory Announcement
Request for Comments on Minimum Denominations
> Any available comments may be viewed here.
3/14/2001 2001-08 Rule G-15 Request for Comment
Request for Comments on Official Communications
> Any available comments may be viewed here.
3/28/2001 2001-13 Rule G-15 Request for Comment
Request for Comments on Real-Time Reporting of Municipal Securities Transactions
> Any available comments may be viewed here.
5/29/2001 2001-17 Request for Comment
MSRB Review of Rule G-37
> Any available comments may be viewed here.
6/04/2001 2001-19 Rule G-37 Request for Comment
Notice and Draft Interpretive Guidance on Rule G-17—Disclosure of Material Facts and Interpretive Guidance Concerning Sophisticated Municipal Market Professionals
> Any available comments may be viewed here.
7/06/2001 2001-25 Rule G-13 , Rule G-17 , Rule G-18 , Rule G-19 Request for Comment
Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements
> Any available comments may be viewed here.
12/19/2001 2001-45 Rule G-3 , Rule G-37 Request for Comment