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 2001-44 - Informational Notice

Publication date: 12/13/2001

Amendments to Rule A-4, on Meetings of the Board

Rule Number:

Rule A-4

Notice 2001-42 - Informational Notice

Publication date: 11/21/2001

Activities by Dealers and Municipal Finance Professionals During Transition Periods for Elected Issuer Officials

Rule Number:

Rule G-37

Notice 2001-41 - Informational Notice

Publication date: 11/06/2001

Proposed Rule Change Filed Concerning Official Communications

Rule Number:

Rule G-15, Rule G-8

Notice 2001-40 - Informational Notice

Publication date: 11/01/2001

MSRB Begins Production of Daily Comprehensive Report

Notice 2001-39 - Informational Notice

Publication date: 10/16/2001

Proposed Rule Change Concerning Minimum Denominations Filed with the Securities and Exchange Commission

Rule Number:

Rule G-15, Rule G-17, Rule G-8

Notice 2001-38 - Informational Notice

Publication date: 10/15/2001

Daily Comprehensive Report Will Be Available Beginning on November 1, 2001

Notice 2001-37 - Informational Notice

Publication date: 10/04/2001

Public Reporting of Transactions in Municipal Securities: Rule G-14

Rule Number:

Rule G-14

Notice 2001-28 - Informational Notice

Publication date: 09/26/2001

MSRB and TBMA to Hold Compliance Seminar

Notice 2001-36 - Informational Notice

Publication date: 09/26/2001

MSRB and TBMA to Hold Compliance Seminar on November 13, 2001

Notice 2001-34 - Informational Notice

Publication date: 09/14/2001

Municipal Market Activity - Thursday, September 13, 2001

Notice 2001-35 - Informational Notice

Publication date: 09/14/2001

Municipal Market Activity - Dealer - Dealer Trading (September 11-13, 2001)

Notice 2001-33 - Informational Notice

Publication date: 09/13/2001

Municipal Market Activity - Tuesday, September 11 - Thursday, September 13, 2001

Notice 2001-32 - Informational Notice

Publication date: 09/10/2001

Board Elects Officers

Notice 2001-31 - Informational Notice

Publication date: 08/17/2001

Public Reporting of Transaction In Municipal Securities: Rule G-14

Rule Number:

Rule G-14

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

Amendments to Rule A-4, on Meetings of the Board

Activities by Dealers and Municipal Finance Professionals During Transition Periods for Elected Issuer Officials

Proposed Rule Change Filed Concerning Official Communications

MSRB Begins Production of Daily Comprehensive Report

Proposed Rule Change Concerning Minimum Denominations Filed with the Securities and Exchange Commission

Daily Comprehensive Report Will Be Available Beginning on November 1, 2001

Public Reporting of Transactions in Municipal Securities: Rule G-14

MSRB and TBMA to Hold Compliance Seminar

MSRB and TBMA to Hold Compliance Seminar on November 13, 2001

Municipal Market Activity - Thursday, September 13, 2001

Municipal Market Activity - Dealer - Dealer Trading (September 11-13, 2001)

Municipal Market Activity - Tuesday, September 11 - Thursday, September 13, 2001

Board Elects Officers

Public Reporting of Transaction In Municipal Securities: Rule G-14

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