Regulatory Documents

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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

SEC Filing SR-MSRB-2023-04

Publication date: 04/27/2023

Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

Federal Register Notice of Immediately Effective Proposed Rule Change (May 08, 2023 )

SEC Approval Order (May 02, 2023 )

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Notice 2023-04 - Informational Notice

Publication date: 04/27/2023

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

Information for:

Dealers

Rule Number:

Rule G-16, Rule G-27

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

SEC Filing SR-MSRB-2023-03

Publication date: 03/28/2023

Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference

Federal Register Notice of Approval (June 01, 2023 )

SEC Approval Order (May 25, 2023 )

MSRB Response to Comments (May 11, 2023 )

Federal Register Notice of Filing (April 12, 2023 )

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SEC Filing SR-MSRB-2023-02

Publication date: 01/31/2023

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (April 04, 2023 )

SEC Approval Order (March 29, 2023 )

Amendment No. 1 (March 23, 2023 )

MSRB Response to Comments (March 23, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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SEC Filing SR-MSRB-2023-01

Publication date: 01/31/2023

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (May 17, 2023 )

SEC Approval Order (May 11, 2023 )

MSRB Response to Comments (April 28, 2023 )

Federal Register Notice of Amendment No. 1 (April 11, 2023 )

Amendment No. 1 (April 04, 2023 )

MSRB Response to Comments (April 04, 2023 )

SEC Request for Extension of TIme (March 21, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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Notice 2023-01 - Informational Notice

Publication date: 01/05/2023

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

SEC Filing SR-MSRB-2022-10

Publication date: 12/13/2022

Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes

Federal Register Notice of Immediately Effective Proposed Rule Change (December 22, 2022 )

SEC Approval Order (December 16, 2022 )

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Notice 2022-14 - Informational Notice

Publication date: 12/13/2022

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

SEC Filing SR-MSRB-2022-09

Publication date: 11/16/2022

Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease

Federal Register Notice of Immediately Effective Proposed Rule Change (November 23, 2022 )

SEC Approval Order (November 17, 2022 )

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SEC Filing SR-MSRB-2022-08

Publication date: 11/16/2022

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023

Federal Register Notice of Immediately Effective Proposed Rule Change (November 23, 2022 )

SEC Approval Order (November 17, 2022 )

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Notice 2022-12 - Informational Notice

Publication date: 11/16/2022

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27

Notice 2022-10 - Informational Notice

Publication date: 10/31/2022

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

SEC Filing SR-MSRB-2022-07

Publication date: 08/30/2022

Proposed Rule Change to Amend MSRB Rule G-3 Continuing Education Program Requirements to Harmonize with Industry-Wide Transformation

Federal Register Notice of Immediately Effective Rule Change (September 13, 2022 )

SEC Approval Order (September 07, 2022 )

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Notice 2022-09 - Informational Notice

Publication date: 08/30/2022

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

Information for:

Dealers

Rule Number:

Rule G-3

Notice 2022-08 - Approval Notice

Publication date: 08/26/2022

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

SEC Filing SR-MSRB-2022-06

Publication date: 07/29/2022

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

MSRB Response to Comments (September 19, 2022 )

Federal Register Notice of Immediately Effective Rule Change (August 09, 2022 )

SEC Approval Order (August 03, 2022 )

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Notice 2022-06 - Informational Notice

Publication date: 07/29/2022

MSRB Revises and Resubmits Annual Rate Card Amendments

Information for:

Dealers, Municipal Advisors

Rule Number:

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

Notice 2022-05 - Informational Notice

Publication date: 07/25/2022

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

SEC Filing SR-MSRB-2022-05

Publication date: 07/01/2022

Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Federal Register Notice of Approval (August 31, 2022 )

SEC Approval Order (August 25, 2022 )

MSRB Response to Comments (August 22, 2022 )

Federal Register Notice of Filing (July 13, 2022 )

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Notice 2022-04 - Informational Notice

Publication date: 06/24/2022

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

SEC Filing SR-MSRB-2022-04

Publication date: 06/07/2022

Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB’s Officers

Federal Register Notice of Immediately Effective Rule Change (June 17, 2022 )

SEC Approval Order (June 13, 2022 )

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SEC Filing SR-MSRB-2022-03

Publication date: 06/02/2022

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 (SR-MSRB-2022-03 WITHDRAWN)

Federal Register Notice of Withdrawal (August 03, 2022 )

MSRB Withdrawal of Filing (July 21, 2022 )

Federal Register Notice of Immediately Effective Rule Change (June 15, 2022 )

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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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

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

Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

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

Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

Proposed Rule Change to Amend MSRB Rule G-3 Continuing Education Program Requirements to Harmonize with Industry-Wide Transformation

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

MSRB Revises and Resubmits Annual Rate Card Amendments

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB’s Officers

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 (SR-MSRB-2022-03 WITHDRAWN)

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

Guidance, Notices & Resources

MSRB Rule Book

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Regulatory Documents for the Municipal Market

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MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market