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Regulation and Compliance

As a part of its mission to promote a fair and efficient market, the MSRB establishes rules, related guidance and supporting compliance resources for municipal securities dealers and municipal advisors.

 

Click below to view the rulemaking process, which provides many opportunities for market participants and the public to provide input.

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What’s New in This Section

- Compliance Resource
Compliance Calendar
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- Notice
MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements
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- SEC Filing
Proposed Rule Change to Amend MSRB Rule G-3 Continuing Education Program Requirements to Harmonize…
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- Notice
SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and…
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- Requests for Comment
Request for Comment on Transaction Reporting Obligations under MSRB Rule G-14
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- Notice
MSRB Revises and Resubmits Annual Rate Card Amendments
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- SEC Filing
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11…
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- Notice
MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to…
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- Compliance Resource
Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief
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- SEC Filing
Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP…
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- Notice
MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability…
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- SEC Filing
Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the…
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- SEC Filing
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11…
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- Notice
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
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- Compliance Resource
G-32 Form Updates
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- SEC Filing
Proposed Rule Change Consisting of Amendments to Rule G-19 Regarding Regulation Best Interest for…
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- Notice
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the…
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- SEC Filing
Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office…
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- Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster…
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- Compliance Resource
Annual Affirmation Guide
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- Requests for Comment
Second Request for Comment on Fair Dealing Solicitor Municipal Advisor Obligations and New Draft…
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- Requests for Comment
Request for Information on Environmental, Social and Governance Practices in the Municipal…
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- Notice
MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources
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- Compliance Resource
FAQs on Municipal Advisor Professional Qualification and Examination Requirements
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- Notice
MSRB Seeks Input and Volunteers for Advisory Group
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Rules & Interpretive Guidance

The MSRB establishes rules to regulate the activities of broker-dealers and banks that buy, sell and underwrite municipal securities, and municipal advisors that provide advice to state and local governments.

Compliance Resources

The MSRB supports regulatory compliance by providing checklists, sample templates and other educational material about MSRB rules.

Submitting Data & Disclosures

Submit Disclosures & Data

Learn about submitting information to the MSRB's market transparency systems.

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EMMA

Visit the free EMMA website to access data and documents submitted to the MSRB.

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MSRB Gateway

Learn about MSRB Gateway, the secure access point for all market systems operated by the MSRB.

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Registration

Dealers and municipal advisors must register with the MSRB before engaging in municipal securities transactions and municipal advisory activities.

Search for Registered Firms and Qualified Municipal Advisor Professionals

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Professional Qualification

Bill Payment

 

View MSRB bill payment options, including the online payment portal.

Fees and Assessments