Regulatory Documents

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SEC Filing

Publication date: 12/31/2007

2007 SEC Filings

All 2007 SEC filings (December 31, 2007 )

Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System

Rule Number:

Rule G-8, Rule G-9, Rule G-14, Rule G-34

Notice 2007-16 - Informational Notice

Publication date: 05/25/2007

SEC Approves Amendments to Rule G-27 on Supervision, Rule G-8 on Recordkeeping, and Rule G-9 on Record Retention. The Amendments Become Effective November 26, 2007

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Notice 2007-05 - Informational Notice

Publication date: 01/25/2007

MSRB Seeks Comments on Draft Rule Changes to Establish an Electronic Access System for Official Statements

Rule Number:

Rule G-8, Rule G-9, Rule G-32

SEC Filing

Publication date: 12/31/2006

2006 SEC Filings

All 2006 SEC filings (December 31, 2006 )

Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention

Rule Number:

Rule G-8, Rule G-9, Rule G-27

SEC Filing

Publication date: 12/31/2005

2005 SEC Filings

All 2005 SEC filings (December 31, 2005 )

SEC Approves Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Books and Records

Rule Number:

Rule G-8, Rule G-20

Notice 2005-44 - Informational Notice

Publication date: 08/18/2005

SEC Approves Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-8, Rule G-37, Rule G-38

Notice 2005-25 - Informational Notice

Publication date: 05/03/2005

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, Relating to Delivery of Customer Agreements Containing Predispute Arbitration Clauses

Rule Number:

Rule G-8

Notice 2005-21 - Informational Notice

Publication date: 04/01/2005

Amendment No. 1 Filed to Proposal to Add Requirements for Predispute Arbitration Agreements with Customers

Rule Number:

Rule G-8

Notice 2005-18 - Informational Notice

Publication date: 03/21/2005

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, to Add Requirements for Predispute Arbitration Agreements with Customers, Effective May 1, 2005

Rule Number:

Rule G-8, Rule A-11

Notice 2005-16 - Informational Notice

Publication date: 03/15/2005

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

Rule Number:

Rule G-8, Rule G-37, Rule G-38

Notice 2005-05 - Informational Notice

Publication date: 01/13/2005

Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Recordkeeping

Rule Number:

Rule G-8, Rule G-20

Notice 2004-32 - Request for Comment

Publication date: 09/29/2004 | Comment due: 12/15/2004

Request for Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business (as modified on October 12, 2004)

Rule Number:

Rule G-8, Rule G-37

No comments available.

Read Comments Hide Comments

Notice 2004-17 - Request for Comment

Publication date: 06/15/2004 | Comment due: 07/30/2004

Request for Comments on Draft Amendments to Rules G-20 and G-8 Relating to Gifts, Gratuities and Non-Cash Compensation in Municipal Debt Offerings and Sales of Municipal Fund Securities

Rule Number:

Rule G-20, Rule G-8

No comments available.

Read Comments Hide Comments

Notice 2004-11 - Request for Comment

Publication date: 04/05/2004 | Comment due: 06/04/2004

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

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

No comments available.

Read Comments Hide Comments

Notice 2004-05 - Informational Notice

Publication date: 02/02/2004

Amendments Approved Regarding the National Do-Not-Call Registry

Rule Number:

Rule G-8, Rule G-39

Notice 2003-41 - Informational Notice

Publication date: 10/30/2003

Technical Revisions and Reorganization of Rule G-37 Qs & As

Rule Number:

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

Notice 2003-35 - Informational Notice

Publication date: 08/19/2003

Amendments Filed Regarding the National Do-Not-Call Registry

Rule Number:

Rule G-39, Rule G-8

Notice 2003-17 - Informational Notice

Publication date: 05/12/2003

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

Rule Number:

Rule G-37, Rule G-8

Notice 2003-11 - Informational Notice

Publication date: 03/26/2003

Amendment Filed to Rule G-37 Rule Change Pending at SEC

Rule Number:

Rule G-37, Rule G-8

Notice 2003-10 - Informational Notice

Publication date: 03/21/2003

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

Rule Number:

Rule G-37, Rule G-8

Notice 2002-27 - Informational Notice

Publication date: 08/13/2002

SEC Approved Amendment to Rule G-32 Relating to Disclosures in Connection with New Issues

Rule Number:

Rule G-32, Rule G-8, Rule G-9

Notice 2002-23 - Informational Notice

Publication date: 06/21/2002

Notice of Proposed Amendment to Rule G-32 on Sending Disclosure Documents to Customers Sharing the Same Address

Rule Number:

Rule G-32, Rule G-8, Rule G-9

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

2007 SEC Filings

Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System

SEC Approves Amendments to Rule G-27 on Supervision, Rule G-8 on Recordkeeping, and Rule G-9 on Record Retention. The Amendments Become Effective November 26, 2007

MSRB Seeks Comments on Draft Rule Changes to Establish an Electronic Access System for Official Statements

2006 SEC Filings

Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention

2005 SEC Filings

SEC Approves Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Books and Records

SEC Approves Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, Relating to Delivery of Customer Agreements Containing Predispute Arbitration Clauses

Amendment No. 1 Filed to Proposal to Add Requirements for Predispute Arbitration Agreements with Customers

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, to Add Requirements for Predispute Arbitration Agreements with Customers, Effective May 1, 2005

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Recordkeeping

Request for Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business (as modified on October 12, 2004)

Request for Comments on Draft Amendments to Rules G-20 and G-8 Relating to Gifts, Gratuities and Non-Cash Compensation in Municipal Debt Offerings and Sales of Municipal Fund Securities

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Amendments Approved Regarding the National Do-Not-Call Registry

Technical Revisions and Reorganization of Rule G-37 Qs & As

Amendments Filed Regarding the National Do-Not-Call Registry

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

Amendment Filed to Rule G-37 Rule Change Pending at SEC

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

SEC Approved Amendment to Rule G-32 Relating to Disclosures in Connection with New Issues

Notice of Proposed Amendment to Rule G-32 on Sending Disclosure Documents to Customers Sharing the Same Address

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market