Regulatory Documents

Select regulatory documents by category:

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 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

Notice 2002-26 - Informational Notice

Publication date: 08/07/2002

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

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

Notice of Amendment to Rule G-40 and Form G-40, on E-mail Contacts

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