Regulatory Documents

Select regulatory documents by category:

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

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

Notice 2002-25 - Informational Notice

Publication date: 07/10/2002

Registration for MSRB/TBMA Compliance Seminar

Notice 2002-24 - Informational Notice

Publication date: 07/03/2002

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

Notice 2002-23 - Informational Notice

Publication date: 06/21/2002

Notice of Proposed Amendment to Rule G-32 on Sending Disclosure Documents to Customers Sharing the Same Address

Rule Number:

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

Notice 2002-22 - Informational Notice

Publication date: 06/12/2002

SEC Approves New Rule G-40 and Form G-40 on Electronic Mail Contacts

Rule Number:

Rule G-8, Rule G-9

Notice 2002-21 - Informational Notice

Publication date: 05/29/2002

MSRB and TBMA to Hold Compliance Seminar on October 10, 2002

Notice 2002-20 - Informational Notice

Publication date: 05/15/2002

Reminder of Effective Date of Rule G-15 Amendment Concerning Minimum Denominations

Rule Number:

Rule G-15, Rule G-17

Notice 2002-19 - Informational Notice

Publication date: 05/14/2002

Application of Fair Practice and Advertising Rules to Municipal Fund Securities

Rule Number:

Rule G-17, Rule G-21, Rule G-19, Rule G-30

Notice 2002-18 - Informational Notice

Publication date: 05/13/2002

SEC Approval of Municipal Fund Securities Limited Principal Professional Qualification Category and Related Amendments to MSRB Rule G-3

Rule Number:

Rule G-3

Notice 2002-17 - Informational Notice

Publication date: 05/10/2002

Change in Definition of Frequently-Traded Municipal Securities: Rule G-14

Rule Number:

Rule G-14

Notice 2002-15 - Informational Notice

Publication date: 05/06/2002

REMINDER: Proposed Rule G-40 Not Yet Approved by SEC

Notice 2002-16 - Informational Notice

Publication date: 05/06/2002

Interpretive Notice Regarding the Application of MSRB Rules to Transactions with Sophisticated Municipal Market Professionals

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-13

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

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

Registration for MSRB/TBMA Compliance Seminar

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

Notice of Proposed Amendment to Rule G-32 on Sending Disclosure Documents to Customers Sharing the Same Address

SEC Approves New Rule G-40 and Form G-40 on Electronic Mail Contacts

MSRB and TBMA to Hold Compliance Seminar on October 10, 2002

Reminder of Effective Date of Rule G-15 Amendment Concerning Minimum Denominations

Application of Fair Practice and Advertising Rules to Municipal Fund Securities

SEC Approval of Municipal Fund Securities Limited Principal Professional Qualification Category and Related Amendments to MSRB Rule G-3

Change in Definition of Frequently-Traded Municipal Securities: Rule G-14

REMINDER: Proposed Rule G-40 Not Yet Approved by SEC

Interpretive Notice Regarding the Application of MSRB Rules to Transactions with Sophisticated Municipal Market Professionals

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