Regulatory Documents

Select regulatory documents by category:

Notice 2024-13 - Informational Notice

Publication date: 10/28/2024

MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology

Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Notice 2024-08 - Informational Notice

Publication date: 05/31/2024

MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

Notice 2024-06 - Informational Notice

Publication date: 05/10/2024

MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

Notice 2023-09 - Market Advisory

Publication date: 11/02/2023

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Dealers, Issuers, Municipal Advisors

Notice 2023-05 - Approval Notice

Publication date: 05/15/2023

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-40

Notice 2023-03 - Approval Notice

Publication date: 03/30/2023

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-46

Notice 2022-03 - Informational Notice

Publication date: 06/02/2022

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

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

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

Notice 2018-18 - Regulatory Reminder

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

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:

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

MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology

MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments

MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions

MSRB Seeks Input and Volunteers for Advisory Groups

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

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

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

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