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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
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in…
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- Notice
MSRB Amends Real-Time Transaction Reporting and Price Dissemination Information Facility to…
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- SEC Filing
Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price…
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- Notice
SEC Approves Amendments to Rule G-47 to Add Three New Time of Trade Disclosure Scenarios, Codify…
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- Requests for Comment
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and…
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- Notice
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA…
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- SEC Filing
Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill…
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- 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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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