Regulatory Documents

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Notice 2023-10 - Informational Notice

Publication date: 11/30/2023

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Notice 2023-09 - Market Advisory

Publication date: 11/02/2023

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Dealers, Issuers, Municipal Advisors

Notice 2023-07 - Approval Notice

Publication date: 09/12/2023

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8

Notice 2023-06 - Approval Notice

Publication date: 05/30/2023

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

Information for:

Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2023-05 - Approval Notice

Publication date: 05/15/2023

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-40

Notice 2023-04 - Informational Notice

Publication date: 04/27/2023

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

Information for:

Dealers

Rule Number:

Rule G-16, Rule G-27

Notice 2023-03 - Approval Notice

Publication date: 03/30/2023

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-46

Notice 2023-01 - Informational Notice

Publication date: 01/05/2023

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

Notice 2003-30 - Informational Notice

Publication date: 07/31/2003

Dealer Feedback System: T+2 Inter-dealer Transaction Report

Rule Number:

Rule G-14

Notice 2003-29 - Informational Notice

Publication date: 07/25/2003

Reminder Notice Concerning Automated Comparison of Cash and Next-Day Trades: Rule G-12(f)

Rule Number:

Rule G-12

Notice 2003-28 - Informational Notice

Publication date: 07/16/2003

Approval by SEC of Rule G-41, on Anti-Money Laundering Compliance

Rule Number:

Rule G-41

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

MSRB Seeks Input and Volunteers for Advisory Groups

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

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

Dealer Feedback System: T+2 Inter-dealer Transaction Report

Reminder Notice Concerning Automated Comparison of Cash and Next-Day Trades: Rule G-12(f)

Approval by SEC of Rule G-41, on Anti-Money Laundering Compliance

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

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Regulatory Documents for the
Municipal Market