Regulatory Documents

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Compliance Resource

Publication date: 12/30/2022

Preparing to Submit MSRB Form A-12

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Compliance Resource

Publication date: 01/01/2022

Annual Affirmation Guide

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Compliance Resource

Publication date: 01/30/2020

LIBOR Transition Information

Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

Compliance Resource

Publication date: 05/01/2019

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

Compliance Resource

Publication date: 05/01/2019

FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

Compliance Resource

Publication date: 02/01/2019

Resources Related to 2019 Municipal Securities Examination Priorities

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

Compliance Resource

Publication date: 08/14/2018

Compliance Advisory for Municipal Advisors

Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

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, Rule A-12

Compliance Resource

Publication date: 06/20/2018

FAQs Regarding MSRB Rule G-42 and Making Recommendations

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

Compliance Resource

Publication date: 09/01/2017

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10

Compliance Resource

Publication date: 06/01/2017

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-42

Compliance Resource

Publication date: 08/04/2016

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-37

Compliance Resource

Publication date: 04/01/2016

Municipal Advisors: Understanding Standards of Conduct

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42

Compliance Resource

Publication date:

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

Compliance Resource

Publication date:

Summary of Ban on Business Provisions Under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

MSRB Registration Manual

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Compliance Resource

Publication date:

Form G-45 Manual and Specifications

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Compliance Resource

Publication date:

Exemptive Relief under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Information for Municipal Advisory Clients

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-10

Compliance Resource

Publication date:

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Preparing to Submit MSRB Form A-12

Annual Affirmation Guide

LIBOR Transition Information

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)

FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)

Resources Related to 2019 Municipal Securities Examination Priorities

Compliance Advisory for Municipal Advisors

FAQs Regarding MSRB Rule G-42 and Making Recommendations

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

Application of MSRB Rules to Solicitor Municipal Advisors

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

Municipal Advisors: Understanding Standards of Conduct

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Summary of Ban on Business Provisions Under MSRB Rule G-37

MSRB Registration Manual

Form G-45 Manual and Specifications

Exemptive Relief under MSRB Rule G-37

Information for Municipal Advisory Clients

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market