Regulatory Documents

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Notice 2003-06 - Informational Notice

Publication date: 02/28/2003

Reminder: To Supervise Municipal Fund Securities Activities, a Municipal Fund Securities Limited Principal (Series 51) or Municipal Securities Principal (Series 53) Qualification is Required by April 1, 2003

Rule Number:

Rule G-3

Notice 2003-01 - Informational Notice

Publication date: 01/09/2003

Municipal Fund Securities Limited Principals (Series 51) and E-Mail Contacts under Rule G-40

Rule Number:

Rule G-3

Notice 2002-32 - Informational Notice

Publication date: 09/30/2002

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

Rule Number:

Rule G-3

Notice 2002-18 - Informational Notice

Publication date: 05/13/2002

SEC Approval of Municipal Fund Securities Limited Principal Professional Qualification Category and Related Amendments to MSRB Rule G-3

Rule Number:

Rule G-3

Notice 2002-07 - Informational Notice

Publication date: 03/21/2002

Municipal Fund Securities -- Notice of filing of proposed rule change relating to professional qualification of municipal fund securities limited principals

Rule Number:

Rule G-3

Notice 2001-45 - Request for Comment

Publication date: 12/19/2001 | Comment due: 01/25/2002

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Rule Number:

Rule G-3, Rule G-37

No comments available.

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Notice 2001-24 - Informational Notice

Publication date: 07/05/2001

Municipal Fund Securities – Qualification of Municipal Securities Principals and Application of MSRB Rules to Fees, Disclosure and Other Market Practices

Rule Number:

Rule G-3

Notice 2001-22 - Informational Notice

Publication date: 06/13/2001

In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

Rule Number:

Rule G-3, Rule G-8, Rule G-9, Rule G-27

Notice 2001-02 - Informational Notice

Publication date: 01/19/2001

Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission

Rule Number:

Rule D-12, Rule A-13, Rule G-3, Rule G-8, Rule G-14, Rule G-15, Rule G-26, Rule G-32, Rule G-34

Notice 2000-15 - Informational Notice

Publication date: 04/05/2000

Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission

Rule Number:

Rule D-12, Rule A-13, Rule G-3, Rule G-8, Rule G-26, Rule G-32, Rule G-34

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

Reminder: To Supervise Municipal Fund Securities Activities, a Municipal Fund Securities Limited Principal (Series 51) or Municipal Securities Principal (Series 53) Qualification is Required by April 1, 2003

Municipal Fund Securities Limited Principals (Series 51) and E-Mail Contacts under Rule G-40

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

SEC Approval of Municipal Fund Securities Limited Principal Professional Qualification Category and Related Amendments to MSRB Rule G-3

Municipal Fund Securities -- Notice of filing of proposed rule change relating to professional qualification of municipal fund securities limited principals

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Municipal Fund Securities – Qualification of Municipal Securities Principals and Application of MSRB Rules to Fees, Disclosure and Other Market Practices

In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission

Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission

Guidance, Notices & Resources

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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