Regulatory Documents

Select regulatory documents by category:

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

Compliance Resource

Publication date: 11/01/2017

FAQs on Continuing Education Program Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Compliance Resource

Publication date: 10/01/2017

Developing a CE Needs Analysis and Written Training Plan

Information for:

Municipal Advisors

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

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

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

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

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

Notice 2007-01 - Informational Notice

Publication date: 01/17/2007

Firm Element Advisory for Continuing Education is Available

Rule Number:

Rule G-3

Notice 2006-25 - Informational Notice

Publication date: 08/11/2006

Revised Series 51 Study Outline Filed with SEC

Rule Number:

Rule G-3

Notice 2006-18 - Informational Notice

Publication date: 06/19/2006

Revised Series 53 Study Outline and Test Specifications Filed with SEC

Rule Number:

Rule G-3

Notice 2005-54 - Informational Notice

Publication date: 10/13/2005

Revised Series 9/10 Examination

Rule Number:

Rule G-3

Notice 2005-23 - Informational Notice

Publication date: 04/22/2005

Reminder of Amendments to Remove Exemptions from Regulatory Element of Continuing Education Program

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

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

FAQs on Continuing Education Program Requirements for Municipal Advisors

Developing a CE Needs Analysis and Written Training Plan

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

MSRB to Launch Permanent Series 50 Exam September 12, 2016

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

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

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

Firm Element Advisory for Continuing Education is Available

Revised Series 51 Study Outline Filed with SEC

Revised Series 53 Study Outline and Test Specifications Filed with SEC

Revised Series 9/10 Examination

Reminder of Amendments to Remove Exemptions from Regulatory Element of Continuing Education Program

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