Select regulatory documents by category:

Regulatory Document Type

Back to top
Notice 2018-31 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs
Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Share
Notice 2018-30 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

Share
Notice 2018-28 - Regulatory Reminder
Publication date:
Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website
Information for:

Bank Dealers, Dealers, Municipal Advisors

Share
Notice 2018-18 - Regulatory Reminder
Publication date:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44

Share
Notice 2018-17 - Regulatory Reminder
Publication date:
Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

Share
Notice 2018-16 - Approval Notice
Publication date:
MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Share
Notice 2018-08 - Approval Notice
Publication date:
SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Share
Notice 2018-07 - Regulatory Reminder
Publication date:
Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-19, Rule G-30, Rule G-47

Share
Notice 2018-01 - Regulatory Reminder
Publication date:
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-43

Share
Print