Regulatory Documents

Select regulatory documents by category:

Notice 2018-11 - Informational Notice

Publication date: 06/11/2018

MSRB Modifies Professional Qualifications Program

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

SEC Filing SR-MSRB-2018-04

Publication date: 06/08/2018

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Federal Register Notice of Immediately Effective Rule Change (June 26, 2018 )

SEC Approval Order (June 20, 2018 )

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Notice 2017-21 - Informational Notice

Publication date: 11/08/2017

MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2017-10 - Approval Notice

Publication date: 05/17/2017

SEC Approves Continuing Education Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

Notice 2017-09 - Informational Notice

Publication date: 05/08/2017

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2017-08 - Informational Notice

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

SEC Filing SR-MSRB-2017-02

Publication date: 03/22/2017

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

Federal Register Notice of Approval (May 22, 2017 )

SEC Approval Order (May 16, 2017 )

MSRB Response to Comment (May 10, 2017 )

Federal Register Notice of Filing (April 04, 2017 )

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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 2016-16 - 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-2016-02

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 2015-17 - Informational Notice

Publication date: 09/30/2015

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

SEC Filing SR-MSRB-2015-11

Publication date: 09/29/2015

Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)

Federal Register Notice of Immediately Effective Rule Change (October 20, 2015 )

SEC Approval Order (October 14, 2015 )

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Notice 2015-15 - Informational Notice

Publication date: 09/08/2015

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-12 - Informational Notice

Publication date: 07/31/2015

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-06 - Informational Notice

Publication date: 04/22/2015

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-04 - Informational Notice

Publication date: 03/02/2015

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-1, Rule G-2, Rule G-3, Rule D-13

SEC Filing

Publication date: 12/31/2014

2014 SEC Filings

All 2014 SEC filings (December 31, 2014 )

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Notice 2014-17 - Informational Notice

Publication date: 10/17/2014

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2014-13 - Informational Notice

Publication date: 08/04/2014

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3, Rule G-7, Rule G-27

Notice 2012-57 - Informational Notice

Publication date: 11/16/2012

MSRB Revises Series 53 Study Outline

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2011-62 - Informational Notice

Publication date: 11/07/2011

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

Rule Number:

Rule G-3, Rule G-27

Notice 2011-54 - Informational Notice

Publication date: 09/13/2011

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

Rule Number:

Rule G-3, Rule G-7

Notice 2010-46 - Informational Notice

Publication date: 10/26/2010

MSRB Files Revised Series 52 Study Outline and Selection Specifications

Rule Number:

Rule G-3

Notice 2008-35 - Informational Notice

Publication date: 08/18/2008

Revised Series 51 Study Outline and Selection Specifications Filed with SEC

Rule Number:

Rule G-3

Notice 2008-02 - Informational Notice

Publication date: 01/03/2008

Firm Element Advisory for Continuing Education Is Available

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Modifies Professional Qualifications Program

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam

SEC Approves Continuing Education Requirements for Municipal Advisors

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Application of MSRB Rules to Solicitor Municipal Advisors

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

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

MSRB to Launch Permanent Series 50 Exam September 12, 2016

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

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

2014 SEC Filings

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

MSRB Revises Series 53 Study Outline

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

MSRB Files Revised Series 52 Study Outline and Selection Specifications

Revised Series 51 Study Outline and Selection Specifications Filed with SEC

Firm Element Advisory for Continuing Education Is Available

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