Regulatory Documents

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SEC Filing SR-MSRB-2016-09

Publication date: 06/30/2016

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Federal Register Notice of Approval (September 19, 2016 )

SEC Approval Order (September 13, 2016 )

MSRB Letter to SEC about Amendment No. 1 (September 01, 2016 )

SEC Request for Extension of Time (September 01, 2016 )

Amendment No. 1 (August 31, 2016 )

MSRB Response to Comments (August 29, 2016 )

Federal Register Notice of Filing (July 20, 2016 )

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SEC Filing SR-MSRB-2016-08

Publication date: 06/15/2016

Filing of Revisions to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Federal Register Notice of Immediately Effective Rule Change (July 05, 2016 )

SEC Approval Order (June 28, 2016 )

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Notice 2016-17 - Informational Notice

Publication date: 06/15/2016

MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination

Information for:

Municipal Advisors

Notice 2016-16 - Informational Notice

Publication date: 05/31/2016

MSRB to Launch Permanent Series 50 Exam September 12, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

SEC Filing SR-MSRB-2016-07

Publication date: 05/11/2016

Proposed Rule Change Consisting of Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities

Federal Register Notice of Approval (August 24, 2016 )

SEC Approval Order (August 18, 2016 )

Amendment No. 1 (July 25, 2016 )

MSRB Letter to SEC about Amendment No. 1 (July 25, 2016 )

SEC Request for Extension of Time (June 30, 2016 )

Federal Register Notice of Filing (June 01, 2016 )

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SEC Filing SR-MSRB-2016-06

Publication date: 05/05/2016

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

Federal Register Notice of Immediately Effective Rule Change (May 25, 2016 )

SEC Approval Order (May 19, 2016 )

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Notice 2016-15 - Informational Notice

Publication date: 05/02/2016

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2016-14 - Informational Notice

Publication date: 04/12/2016

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule D-12

Notice 2016-12 - Informational Notice

Publication date: 04/04/2016

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-10 - Informational Notice

Publication date: 03/18/2016

SEC Approves Amendments to MSRB Rule A-3, on Membership on the Board, to Lengthen the Term of Board Member Service

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

SEC Filing SR-MSRB-2016-05

Publication date: 03/02/2016

Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting

Federal Register Notice of Immediately Effective Rule Change (March 18, 2016 )

SEC Approval Order (March 14, 2016 )

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Notice 2016-09 - Informational Notice

Publication date: 03/02/2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

SEC Filing SR-MSRB-2016-04

Publication date: 03/01/2016

Proposed Rule Change to Amend Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle

Federal Register Notice of Approval (May 04, 2016 )

SEC Approval Order (April 29, 2016 )

Federal Register Notice of Filing (March 18, 2016 )

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SEC Filing SR-MSRB-2016-03

Publication date: 02/23/2016

Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice

Federal Register Notice of Immediately Effective Rule Change (March 14, 2016 )

SEC Approval Order (March 08, 2016 )

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Notice 2016-08 - Informational Notice

Publication date: 02/23/2016

MSRB Amends its Rule Regarding Calculations for Bonds that Do Not Pay Interest Semi-Annually

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-33

Notice 2016-06 - Approval Notice

Publication date: 02/17/2016

Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

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

Notice 2016-05 - Informational Notice

Publication date: 01/28/2016

MSRB Revises Content Outline for the General Securities Sales Supervisor Qualification Examination

Information for:

Bank Dealers, Dealers

SEC Filing SR-MSRB-2016-02

Publication date: 01/22/2016

Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program

Federal Register Notice of Immediately Effective Rule Change (February 10, 2016 )

SEC Approval Order (February 04, 2016 )

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Notice 2016-04 - Informational Notice

Publication date: 01/19/2016

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-2016-01

Publication date: 01/15/2016

Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board

Federal Register Notice of Approval (March 23, 2016 )

SEC Approval Order (March 17, 2016 )

Federal Register Notice of Filing (February 04, 2016 )

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Notice 2016-03 - Approval Notice

Publication date: 01/13/2016

SEC Approves New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

Notice 2016-01 - Informational Notice

Publication date: 01/04/2016

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

SEC Filing SR-MSRB-2015-14

Publication date: 12/16/2015

Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms

Federal Register Notice of Filing (December 30, 2015 )

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SEC Filing SR-MSRB-2015-13

Publication date: 12/04/2015

Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB's Address on the Forms

Federal Register Notice of Immediately Effective Rule Change (December 21, 2015 )

SEC Approval Order (December 15, 2015 )

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Notice 2015-23 - Informational Notice

Publication date: 11/20/2015

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Filing of Revisions to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination

MSRB to Launch Permanent Series 50 Exam September 12, 2016

Proposed Rule Change Consisting of Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

SEC Approves Amendments to MSRB Rule A-3, on Membership on the Board, to Lengthen the Term of Board Member Service

Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Proposed Rule Change to Amend Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle

Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice

MSRB Amends its Rule Regarding Calculations for Bonds that Do Not Pay Interest Semi-Annually

Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934

MSRB Revises Content Outline for the General Securities Sales Supervisor Qualification Examination

Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program

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

Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board

SEC Approves New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

MSRB Seeks Applicants for Board of Directors

Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms

Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB's Address on the Forms

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

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