Regulatory Documents

Select regulatory documents by category:

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 2004-42 - Informational Notice

Publication date: 12/16/2004

Notice of Filing of Amendments Relating to Advertisements of Municipal Fund Securities

Rule Number:

Rule G-17, Rule G-21

Notice 2004-40 - Informational Notice

Publication date: 12/10/2004

Reminder Notice on "List Offering Price" AND THREE-HOUR EXCEPTION for Real-time Transaction Reporting: Rule G-14

Rule Number:

Rule G-14

Notice 2004-41 - Informational Notice

Publication date: 12/10/2004

SEC Approves Proposal to Create the Real-Time Transaction Price Service and Establish an Annual Subscription Fee

Notice 2004-39 - Informational Notice

Publication date: 11/23/2004

SEC Approves New Historical Data Product

Notice 2004-38 - Informational Notice

Publication date: 11/22/2004

Notice of Filing of Proposed Rule Change to Rule G-34 to Facilitate Real-Time Transaction Reporting

Rule Number:

Rule G-14, Rule G-34

Notice 2004-36 - Informational Notice

Publication date: 11/17/2004

Notice of Filing of Implementation Plan for Real-Time Transaction Reporting System

Rule Number:

Rule G-12, Rule G-14

Notice 2004-37 - Informational Notice

Publication date: 11/17/2004

Reminder of December 15 Deadline for Testing Real-Time Trade Reporting Capabilities

Rule Number:

Rule G-12, Rule G-14

Notice 2004-35 - Informational Notice

Publication date: 10/26/2004

Notice of Filing of Proposal to Create the Real-Time Transaction Price Service and Establish an Annual Subscription Fee

Notice 2004-34 - Informational Notice

Publication date: 10/25/2004

Amendments Approved to Remove Exemptions from Regulatory Element of Continuing Education Program

Rule Number:

Rule G-3

Notice 2004-33 - Informational Notice

Publication date: 10/12/2004

Correction to MSRB Notice 2004-32 Requesting Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-37

Notice 2004-31 - Informational Notice

Publication date: 09/28/2004

Notice on Automated Comparison and Transaction Reporting of Certain Inter-Dealer Transactions in When-Issued Municipal Securities: Rules G-12(f) and G-14

Rule Number:

Rule G-12, Rule G-14

Notice 2004-30 - Informational Notice

Publication date: 09/15/2004

Notice of Proposed Rule Change to Offer New Historical Data Product

Notice 2004-29 - Informational Notice

Publication date: 09/02/2004

Approval By the SEC of Real-Time Transaction Reporting and Price Dissemination: Rules G-12(f) and G-14

Rule Number:

Rule G-12, Rule G-14

Notice 2004-28 - Informational Notice

Publication date: 08/26/2004

MSRB and TBMA to Hold Compliance Seminar

Notice 2004-27 - Informational Notice

Publication date: 08/05/2004

Amendments Filed to Remove Exemptions from Regulatory Element of Continuing Education Program

Rule Number:

Rule G-3

Notice 2004-26 - Informational Notice

Publication date: 08/03/2004

Notice of Technical Amendments to Rule G-3, on Professional Qualifications

Rule Number:

Rule G-3

Notice 2004-25 - Informational Notice

Publication date: 08/02/2004

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

Notice of Filing of Amendments Relating to Advertisements of Municipal Fund Securities

Reminder Notice on "List Offering Price" AND THREE-HOUR EXCEPTION for Real-time Transaction Reporting: Rule G-14

SEC Approves Proposal to Create the Real-Time Transaction Price Service and Establish an Annual Subscription Fee

SEC Approves New Historical Data Product

Notice of Filing of Proposed Rule Change to Rule G-34 to Facilitate Real-Time Transaction Reporting

Notice of Filing of Implementation Plan for Real-Time Transaction Reporting System

Reminder of December 15 Deadline for Testing Real-Time Trade Reporting Capabilities

Notice of Filing of Proposal to Create the Real-Time Transaction Price Service and Establish an Annual Subscription Fee

Amendments Approved to Remove Exemptions from Regulatory Element of Continuing Education Program

Correction to MSRB Notice 2004-32 Requesting Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Notice on Automated Comparison and Transaction Reporting of Certain Inter-Dealer Transactions in When-Issued Municipal Securities: Rules G-12(f) and G-14

Notice of Proposed Rule Change to Offer New Historical Data Product

Approval By the SEC of Real-Time Transaction Reporting and Price Dissemination: Rules G-12(f) and G-14

MSRB and TBMA to Hold Compliance Seminar

Amendments Filed to Remove Exemptions from Regulatory Element of Continuing Education Program

Notice of Technical Amendments to Rule G-3, on Professional Qualifications

Withdrawal of Filing on Marketing of 529 College Savings Plans in the Workplace

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