Regulatory Documents

Select regulatory documents by category:

Notice 2021-16 - Informational Notice

Publication date: 12/06/2021

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-17, Rule G-27, Rule G-42, Rule G-44

Notice 2021-15 - Informational Notice

Publication date: 11/11/2021

MSRB Seeks Input and Volunteers for Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2021-14 - Informational Notice

Publication date: 10/26/2021

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2021-13 - Informational Notice

Publication date: 10/06/2021

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-10, Rule G-48

Notice 2021-11 - Informational Notice

Publication date: 09/02/2021

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2021-10 - Informational Notice

Publication date: 08/11/2021

MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2021-09 - Informational Notice

Publication date: 05/19/2021

MSRB Updates Rule A-8, on Rulemaking Procedures

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-8

Notice 2021-05 - Informational Notice

Publication date: 03/01/2021

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Notice 2021-04 - Informational Notice

Publication date: 02/17/2021

MSRB Extends Compliance Date for Amended Form G-32

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

Notice 2021-03 - Informational Notice

Publication date: 02/16/2021

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2021-02 - Informational Notice

Publication date: 02/11/2021

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-8, Rule G-12, Rule G-14, Rule G-16, Rule G-17, Rule G-20, Rule G-23, Rule G-33, Rule G-37, Rule G-38

Notice 2021-01 - Informational Notice

Publication date: 01/19/2021

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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 Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

MSRB Seeks Input and Volunteers for Advisory Group

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)

MSRB Updates Rule A-8, on Rulemaking Procedures

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

MSRB Extends Compliance Date for Amended Form G-32

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

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