Regulatory Documents

Select regulatory documents by category:

Notice 2013-21 - Informational Notice

Publication date: 12/10/2013

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11

Notice 2013-20 - Informational Notice

Publication date: 09/27/2013

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-11, Rule G-32

Notice 2013-18 - Informational Notice

Publication date: 08/12/2013

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Information for:

Bank Dealers, Dealers

Notice 2013-17 - Informational Notice

Publication date: 08/08/2013

Notice Regarding MSRB Policy on Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2013-13 - Informational Notice

Publication date: 06/12/2013

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

Notice 2013-12 - Informational Notice

Publication date: 05/29/2013

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-39

Notice 2013-11 - Informational Notice

Publication date: 05/06/2013

Enhancements to New Issue Information on EMMA

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-32, Rule G-34

Notice 2013-09 - Informational Notice

Publication date: 04/01/2013

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37

Notice 2013-08 - Informational Notice

Publication date: 03/25/2013

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2013-05 - Informational Notice

Publication date: 02/12/2013

MSRB Updates Electronic Form for Reporting Trades

Information for:

Bank Dealers, Dealers

Notice 2013-03 - Informational Notice

Publication date: 01/31/2013

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2013-01 - Informational Notice

Publication date: 01/07/2013

MSRB Seeks Board of Directors Applicants

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 1997-21 - Informational Notice

Publication date: 12/29/1997

Operational Start Date for Customer Transaction Reporting

Notice 1997-20 - Informational Notice

Publication date: 12/23/1997

Amendments Filed regarding Syndicate Practices: Rules G-11, G-12 and G-8

Notice 1997-19 - Informational Notice

Publication date: 12/23/1997

The Board has filed an amendment to rule G-23, on activities of financial advisors

Notice 1997-18 - Informational Notice

Publication date: 12/22/1997

The Board has filed proposed amendments to rule G-32, on disclosures in connection with new issues

Notice 1997-17 - Informational Notice

Publication date: 12/19/1997

Revised Effective Date Filed: Revised Series 53 Study Outline

Notice 1997-16 - Informational Notice

Publication date: 12/18/1997

The Board has filed proposed amendments to rule G-37, on political contributions and prohibitions on municipal securities business, rule G-8, on recordkeeping, and rule G-38, on consultants

Notice 1997-15 - Informational Notice

Publication date: 12/16/1997

The Board has established a fee relating to the public dissemination on CD-ROM of quarterly Form G-37/G-38 filings

Notice 1997-14 - Informational Notice

Publication date: 12/02/1997

The Board has filed revised Forms G-36(OS) and G-36(ARD) and an amendment to rule G-8(a)(xv), on recordkeeping. The revised Forms G-36(OS) and G-36(ARD) and amendment to rule G-8(a)(xv) become operative on January 1, 1998.

Notice 1997-13 - Informational Notice

Publication date: 11/25/1997

Consultants: Rule G-38

Notice 1997-11 - Informational Notice

Publication date: 11/13/1997

Question & Answer Notice: Rule G-38

Notice 1997-12 - Informational Notice

Publication date: 11/13/1997

Arbitration: Rule G-35

Notice 1997-10 - Informational Notice

Publication date: 10/01/1997

MSRB Transaction Reporting Program Questions and Answers

Notice 1997-09 - Informational Notice

Publication date: 09/30/1997

The Board has filed technical amendments to rule G-37, on political contributions and prohibitions on municipal securities business, rule G-38, on consultants, and G-8, on recordkeeping

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Notice Regarding MSRB Policy on Interpretive Guidance

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

Enhancements to New Issue Information on EMMA

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

MSRB Updates Electronic Form for Reporting Trades

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

MSRB Seeks Board of Directors Applicants

Operational Start Date for Customer Transaction Reporting

Amendments Filed regarding Syndicate Practices: Rules G-11, G-12 and G-8

The Board has filed an amendment to rule G-23, on activities of financial advisors

The Board has filed proposed amendments to rule G-32, on disclosures in connection with new issues

Revised Effective Date Filed: Revised Series 53 Study Outline

The Board has filed proposed amendments to rule G-37, on political contributions and prohibitions on municipal securities business, rule G-8, on recordkeeping, and rule G-38, on consultants

The Board has established a fee relating to the public dissemination on CD-ROM of quarterly Form G-37/G-38 filings

The Board has filed revised Forms G-36(OS) and G-36(ARD) and an amendment to rule G-8(a)(xv), on recordkeeping. The revised Forms G-36(OS) and G-36(ARD) and amendment to rule G-8(a)(xv) become operative on January 1, 1998.

Consultants: Rule G-38

Question & Answer Notice: Rule G-38

Arbitration: Rule G-35

MSRB Transaction Reporting Program Questions and Answers

The Board has filed technical amendments to rule G-37, on political contributions and prohibitions on municipal securities business, rule G-38, on consultants, and G-8, on recordkeeping

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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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