Select regulatory documents by category:

Regulatory Document Type

Back to top
Compliance Resource
Publication date:
LIBOR Transition Information
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

Share
Notice 2020-01 - Informational Notice
Publication date:
Obligations of Senior Syndicate Managers Utilizing Electronic Communications
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11

Share
Notice 2019-21 - Informational Notice
Publication date:
MSRB Establishes a Compliance Date of November 30, 2020, for Amendments to Form G-32
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

Share
Notice 2019-20 - Approval Notice
Publication date:
SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Share
Notice 2019-19 - Informational Notice
Publication date:
MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

Share
Notice 2019-18 - Informational Notice
Publication date:
MSRB to Launch Permanent Series 54 Examination November 12, 2019
Information for:

Municipal Advisors

Rule Number:

Rule G-3

Share
Compliance Resource
Publication date:
FAQs Regarding MSRB Rule G-12 on Close-Outs
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Share
Notice 2019-17 - Informational Notice
Publication date:
MSRB Seeks Input and Volunteers for Advisory Groups
Information for:

Bank Dealers, Dealers, Municipal Advisors

Share
Compliance Resource
Publication date:
Guide to Printing a Certificate of Current MSRB Registraion
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Share
Compliance Resource
Publication date:
RTRS Users Manual
Information for:

Dealers

Rule Number:

Rule G-14

Share
Notice 2019-16 - Approval Notice
Publication date:
MSRB Amends Professional Fee for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule A-11

Share
Notice 2019-15 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

Share
Notice 2019-14 - Informational Notice
Publication date:
MSRB Announces June 3, 2019 Operative Date for Technical Amendments
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

Share
Compliance Resource
Publication date:
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

Share
Compliance Resource
Publication date:
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

Share
Notice 2019-12 - Informational Notice
Publication date:
MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-29

Share
Notice 2019-11 - Informational Notice
Publication date:
MSRB Updates Rulebook with Nonsubstantive, Technical Amendments
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

Share
Notice 2019-10 - Informational Notice
Publication date:
MSRB Proposes Amendments to Rules Related to Primary Offering Practices
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

Share
Notice 2019-09 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Share
Notice 2019-07 - Informational Notice
Publication date:
MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Share
Notice 2019-06 - Informational Notice
Publication date:
MSRB Amends Rule A-16 on Examination Fees
Information for:

Municipal Advisors

Rule Number:

Rule A-16

Share
Compliance Resource
Publication date:
FAQs on Price Variance Alerts on Reported Trades
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Share
Notice 2019-05 -
Publication date:
MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18

Share
Notice 2019-04 - Informational Notice
Publication date:
MSRB Identifies Priority Rules for Retrospective Review in 2019
Information for:

Bank Dealers, Dealers, Municipal Advisors

Share
Compliance Resource
Publication date:
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

Share
Print