Regulatory Documents

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Notice 2022-14 - Informational Notice

Publication date: 12/13/2022

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2022-12 - Informational Notice

Publication date: 11/16/2022

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27

Notice 2022-10 - Informational Notice

Publication date: 10/31/2022

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2022-09 - Informational Notice

Publication date: 08/30/2022

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

Information for:

Dealers

Rule Number:

Rule G-3

Notice 2022-08 - Approval Notice

Publication date: 08/26/2022

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

Notice 2022-06 - Informational Notice

Publication date: 07/29/2022

MSRB Revises and Resubmits Annual Rate Card Amendments

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Notice 2022-05 - Informational Notice

Publication date: 07/25/2022

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2022-04 - Informational Notice

Publication date: 06/24/2022

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

Notice 2022-03 - Informational Notice

Publication date: 06/02/2022

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Notice 2022-02 - Informational Notice

Publication date: 03/02/2022

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2022-01 - Informational Notice

Publication date: 01/13/2022

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

Notice 1997-08 - Informational Notice

Publication date: 09/11/1997

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

MSRB Revises and Resubmits Annual Rate Card Amendments

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

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

Request for Comment Rule G-38

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