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 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

529 College Savings Plans – MSRB Market Outreach & Education Series

Notice 2003-37 - Informational Notice

Publication date: 08/28/2003

Withdrawal of Market Emergencies Rule Filing

Notice 2003-36 - Informational Notice

Publication date: 08/21/2003

Questions and Answers Regarding Real-Time Transaction Reporting

Notice 2003-35 - Informational Notice

Publication date: 08/19/2003

Amendments Filed Regarding the National Do-Not-Call Registry

Rule Number:

Rule G-39, Rule G-8

Notice 2003-34 - Informational Notice

Publication date: 08/18/2003

Proposed Rule Change Approved to Amend Rule A-14, on Annual Fees

Notice 2003-33 - Informational Notice

Publication date: 08/15/2003

529 College Savings Plans - MSRB Market Outreach & Education Series

Notice 2003-32 - Informational Notice

Publication date: 08/06/2003

Notice Concerning Indirect Rule Violations: Rules G-37 and G-38

Rule Number:

Rule G-37

Notice 2003-31 - Informational Notice

Publication date: 08/04/2003

Revised Form G-40, on E-Mail Contacts

Rule Number:

Rule G-3

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

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

Withdrawal of Market Emergencies Rule Filing

Questions and Answers Regarding Real-Time Transaction Reporting

Amendments Filed Regarding the National Do-Not-Call Registry

Proposed Rule Change Approved to Amend Rule A-14, on Annual Fees

529 College Savings Plans - MSRB Market Outreach & Education Series

Notice Concerning Indirect Rule Violations: Rules G-37 and G-38

Revised 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

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