Regulatory Documents

Select regulatory documents by category:

Notice 2015-23 - Informational Notice

Publication date: 11/20/2015

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2015-21 - Informational Notice

Publication date: 11/09/2015

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-20

Notice 2015-20 - Informational Notice

Publication date: 11/03/2015

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-19 - Informational Notice

Publication date: 10/20/2015

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

Notice 2015-17 - Informational Notice

Publication date: 09/30/2015

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-15 - Informational Notice

Publication date: 09/08/2015

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-14 - Informational Notice

Publication date: 09/03/2015

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2015-13 - Informational Notice

Publication date: 08/10/2015

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12, Rule A-13

Notice 2015-12 - Informational Notice

Publication date: 07/31/2015

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-11 - Informational Notice

Publication date: 07/23/2015

MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-09 - Informational Notice

Publication date: 06/30/2015

MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2015-07 - Informational Notice

Publication date: 05/26/2015

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14

Notice 2015-06 - Informational Notice

Publication date: 04/22/2015

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-05 - Informational Notice

Publication date: 03/17/2015

MSRB Amends Fees Charged for Qualification Examinations

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-16

Notice 2015-04 - Informational Notice

Publication date: 03/02/2015

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-1, Rule G-2, Rule G-3, Rule D-13

Notice 2015-03 - Informational Notice

Publication date: 01/29/2015

Bank Loan Disclosure Market Advisory

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-02 - Informational Notice

Publication date: 01/06/2015

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015

Notice 2015-01 - Informational Notice

Publication date: 01/05/2015

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2003-44 - Informational Notice

Publication date: 12/11/2003

Real-Time Transaction Reporting: Revised Schedule and Operational Plan

Notice 2003-43 - Informational Notice

Publication date: 11/24/2003

Transaction Reporting of Multiple Transactions Between Dealers in the Same Issue: Rules G-12 (f) and G-14

Rule Number:

Rule G-12, Rule G-14

Notice 2003-42 - Informational Notice

Publication date: 11/04/2003

529 College Savings Plans – MSRB Market Outreach & Education Series

Notice 2003-41 - Informational Notice

Publication date: 10/30/2003

Technical Revisions and Reorganization of Rule G-37 Qs & As

Rule Number:

Rule G-37, Rule G-8, Rule G-9

Notice 2003-40 - Informational Notice

Publication date: 10/17/2003

Final Agenda for MSRB Forum on the 529 College Savings Plan Market

Notice 2003-39 - Informational Notice

Publication date: 09/23/2003

Revised Specifications for the Real-Time Transaction Reporting System

Notice 2003-38 - Informational Notice

Publication date: 09/08/2003

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities

MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

MSRB Amends Fees Charged for Qualification Examinations

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

Bank Loan Disclosure Market Advisory

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015

MSRB Seeks Applicants for Board of Directors

Real-Time Transaction Reporting: Revised Schedule and Operational Plan

Transaction Reporting of Multiple Transactions Between Dealers in the Same Issue: Rules G-12 (f) and G-14

529 College Savings Plans – MSRB Market Outreach & Education Series

Technical Revisions and Reorganization of Rule G-37 Qs & As

Final Agenda for MSRB Forum on the 529 College Savings Plan Market

Revised Specifications for the Real-Time Transaction Reporting System

529 College Savings Plans – MSRB Market Outreach & Education Series

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