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
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 Seeks Applicants for Board of Directors Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 1/08/2018 2018-02 Informational Notice
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
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
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
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
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
MSRB Modifies Professional Qualifications Program Municipal Securities Dealers, Municipal Advisors 6/11/2018 2018-11 Rule G-3 Informational Notice
MSRB Answers Frequently Asked Questions Regarding MSRB Rule G-42 and Making Recommendations Municipal Advisors 6/20/2018 2018-12 Rule G-8 , Rule G-42 Informational Notice
MSRB Revises Content Outlines for Professional Qualification Examinations Municipal Securities Dealers, Municipal Advisors 6/25/2018 2018-13 Rule G-3 Informational Notice
MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers Municipal Securities Dealers 7/23/2018 2018-16 Rule A-13 Approval Notice
Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers Municipal Securities Dealers, Issuers, Investors, General Public 8/14/2018 2018-17 Rule G-11 , Rule G-15 , Rule G-18 , Rule G-19 , Rule G-23 , Rule G-27 , Rule G-30 Market Advisory
Compliance Advisory for Municipal Advisors Municipal Advisors, Issuers, Investors, General Public 8/14/2018 2018-18 Rule G-2 , Rule G-3 , Rule G-8 , Rule G-9 , Rule G-10 , Rule G-17 , Rule G-20 , Rule G-37 , Rule G-42 , Rule G-44 Market Advisory
MSRB Expands Advisory Groups and Seeks Volunteers Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 9/11/2018 2018-23 Informational Notice
MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40 Municipal Advisors 9/17/2018 2018-24 Rule G-40 Informational Notice
MSRB Proposes a Municipal Advisor Principal Qualification Examination Municipal Advisors 9/19/2018 2018-26 Rule G-3 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
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
Request for Comment: Retrospective Review of 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 6/05/2018 2018-10 Rule G-17 Request for Comment
Request for Comment on Draft Frequently Asked Questions Regarding Rule G-40 and the Use of Municipal Advisory Client Lists and Case Studies
> Any available comments may be viewed here.
Municipal Advisors 6/27/2018 2018-14 Rule G-40 Request for Comment
Request for Comment on Draft Amendments to MSRB Rules on Primary Offering Practices
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers 7/19/2018 2018-15 Rule G-11 , Rule G-32 Request for Comment
Request for Comment on Draft Frequently Asked Questions Regarding Use of Social Media under MSRB Advertising Rules
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors 8/14/2018 2018-19 Rule G-21 , Rule G-40 Request for Comment
Request for Information on the Accessibility, Methodology and Utility of Indices, Yield Curves and Other Benchmarks
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 8/28/2018 2018-20 Request for Comment
CE Council Requests Comment on Continuing Education Program Considerations
> Any available comments may be viewed here.
Municipal Securities Dealers 9/06/2018 2018-21 Request for Comment
Request for Comment on Draft Interpretive Guidance on Pennying and Draft Amendments to Existing Guidance on Best Execution
> Any available comments may be viewed here.
Municipal Securities Dealers 9/07/2018 2018-22 Rule G-17 , Rule G-18 Request for Comment
Request for Comment on the Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 Municipal Advisors 9/17/2018 2018-25 Rule G-40 Request for Comment