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 2002-38 - Informational Notice

Publication date: 12/20/2002

Notice of Proposed Amendment to Rule G-28 on Sales to Employees of Other Dealers

Rule Number:

Rule G-28

Notice 2002-39 - Informational Notice

Publication date: 12/20/2002

Municipal Fund Securities Limited Principal Examination (Series 51) Available on January 2, 2003

Notice 2002-37 - Informational Notice

Publication date: 12/17/2002

MSRB Introduces Website on Municipal Fund Securities

Notice 2002-36 - Informational Notice

Publication date: 12/11/2002

Proposed Rule Change Concerning Market Emergencies Filed with the Securities and Exchange Commission

Rule Number:

Rule G-17, Rule A-4

Notice 2002-35 - Informational Notice

Publication date: 11/22/2002

Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14

Rule Number:

Rule G-14

Notice 2002-34 - Informational Notice

Publication date: 11/18/2002

Draft Interpretive Notice on Marketing of 529 College Savings Plan Employee Payroll Deduction Programs

Rule Number:

Rule G-17, Rule G-19, Rule G-27, Rule G-32

Notice 2002-33 - Informational Notice

Publication date: 10/22/2002

SEC Approves Amendment to Rule G-35 to Discontinue MSRB Arbitration Program

Rule Number:

Rule G-35, Rule A-16

Notice 2002-32 - Informational Notice

Publication date: 09/30/2002

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

Rule Number:

Rule G-3

Notice 2002-31 - Informational Notice

Publication date: 09/26/2002

Amendments Filed to Rule G-37 Concerning the Exemption Process and the Definition of Municipal Finance Professional

Rule Number:

Rule G-37

Notice 2002-30 - Informational Notice

Publication date: 09/25/2002

Notice Regarding Application of Rule G-19, on Suitability of Recommendations and Transactions, to online Communications

Rule Number:

Rule G-19

Notice 2002-29 - Informational Notice

Publication date: 09/24/2002

Proposed Rule Change Concerning Public Reporting of Transactions in Frequently-Traded Municipal Securities: Rule G-14

Rule Number:

Rule G-14

Notice 2002-28 - Informational Notice

Publication date: 08/30/2002

SEC Approval of Change to Public Report of Transactions in Municipal Securities: Rule G-14

Rule Number:

Rule G-14

Notice 2002-27 - Informational Notice

Publication date: 08/13/2002

SEC Approved Amendment to Rule G-32 Relating to Disclosures in Connection with New Issues

Rule Number:

Rule G-32, Rule G-8, Rule G-9

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

Notice of Proposed Amendment to Rule G-28 on Sales to Employees of Other Dealers

Municipal Fund Securities Limited Principal Examination (Series 51) Available on January 2, 2003

MSRB Introduces Website on Municipal Fund Securities

Proposed Rule Change Concerning Market Emergencies Filed with the Securities and Exchange Commission

Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14

Draft Interpretive Notice on Marketing of 529 College Savings Plan Employee Payroll Deduction Programs

SEC Approves Amendment to Rule G-35 to Discontinue MSRB Arbitration Program

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

Amendments Filed to Rule G-37 Concerning the Exemption Process and the Definition of Municipal Finance Professional

Notice Regarding Application of Rule G-19, on Suitability of Recommendations and Transactions, to online Communications

Proposed Rule Change Concerning Public Reporting of Transactions in Frequently-Traded Municipal Securities: Rule G-14

SEC Approval of Change to Public Report of Transactions in Municipal Securities: Rule G-14

SEC Approved Amendment to Rule G-32 Relating to Disclosures in Connection with New Issues

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