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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

- Notice
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
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- Notice
MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with…
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- SEC Filing
Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential…
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- SEC Filing
Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire…
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- SEC Filing
Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB…
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- Notice
MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees
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- Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
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- Notice
SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations,…
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- Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
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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.

Compliance Calendar

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