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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Please visit Requests for Comment page to submit comments.
Title Stakeholders Publication Date Notice Number Rule Number Notice Type
MSRB Seeks Applicants for Board of Directors Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 1/09/2017 2017-02 Informational Notice
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
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
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
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 Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017 Municipal Advisors 5/08/2017 2017-09 Rule G-3 Regulatory Announcement
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 Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price Municipal Securities Dealers, Investors 7/12/2017 2017-12 Rule G-15 , Rule G-30 Regulatory Announcement
MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios Municipal Advisors, Issuers, Municipal Securities Dealers, Investors 7/13/2017 2017-13 Rule G-42 Regulatory Announcement
Market Advisory on Issuer’s Designation of Underwriter’s Counsel Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 7/27/2017 2017-14 Market Advisory
SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers Municipal Securities Dealers, Investors 7/31/2017 2017-15 Rule G-26 Approval Notice
SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements Municipal Securities Dealers 8/21/2017 2017-16 Rule G-21 Approval Notice
Market Advisory on Selective Disclosure Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 9/13/2017 2017-18 Market Advisory
MSRB Amends Professional Fee for Municipal Advisors Municipal Advisors 9/29/2017 2017-20 Rule A-11 Regulatory Announcement
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 Regulatory Announcement
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 Regulatory Announcement
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 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
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
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
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
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
Request for Comment on Draft Amendments to MSRB Form G-45 under Rule G-45, on Reporting of Information on Municipal Fund Securities
> Any available comments may be viewed here.
Municipal Securities Dealers 8/22/2017 2017-17 Rule G-45 Request for Comment
Request for Comment on a Concept Proposal Regarding Amendments to Primary Offering Practices of Brokers, Dealers and Municipal Securities Dealers
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors 9/14/2017 2017-19 Rule G-11 , Rule G-32 Concept Proposal
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