Regulatory Documents

Select regulatory documents by category:

Notice 2013-21 - Informational Notice

Publication date: 12/10/2013

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11

Notice 2013-20 - Informational Notice

Publication date: 09/27/2013

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-11, Rule G-32

Notice 2013-18 - Informational Notice

Publication date: 08/12/2013

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Information for:

Bank Dealers, Dealers

Notice 2013-17 - Informational Notice

Publication date: 08/08/2013

Notice Regarding MSRB Policy on Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2013-13 - Informational Notice

Publication date: 06/12/2013

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

Notice 2013-12 - Informational Notice

Publication date: 05/29/2013

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-39

Notice 2013-11 - Informational Notice

Publication date: 05/06/2013

Enhancements to New Issue Information on EMMA

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-32, Rule G-34

Notice 2013-09 - Informational Notice

Publication date: 04/01/2013

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37

Notice 2013-08 - Informational Notice

Publication date: 03/25/2013

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2013-05 - Informational Notice

Publication date: 02/12/2013

MSRB Updates Electronic Form for Reporting Trades

Information for:

Bank Dealers, Dealers

Notice 2013-03 - Informational Notice

Publication date: 01/31/2013

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2013-01 - Informational Notice

Publication date: 01/07/2013

MSRB Seeks Board of Directors Applicants

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2005-62 - Informational Notice

Publication date: 12/22/2005

SEC Approves Proposed Rule Change to MSRB Rule G-14 RTRS Procedures, Paragraph (a)(ii)(C) To Extend the Expiration Date of the Three-Hour Exception

Rule Number:

Rule G-14

Notice 2005-61 - Informational Notice

Publication date: 12/16/2005

Amendments to Rules A-3(f) and A-6(c), on Board Member Compensation

Rule Number:

Rule A-3, Rule A-6

Notice 2005-60 - Informational Notice

Publication date: 12/13/2005

Notice of Filing of Proposed Rule Change Relating to RTRS Procedures, Under Rule G-14 Reports of Sales or Purchases

Rule Number:

Rule G-14

Notice 2005-59 - Informational Notice

Publication date: 12/07/2005

MSRB Files Amendment with SEC Relating to Previously Filed Interpretive Notice on the Definition of Solicitation Under Rules G-37 and Rule G-38

Rule Number:

Rule G-37, Rule G-38

Notice 2005-58 - Informational Notice

Publication date: 11/30/2005

Reminder: New Requirements Relating to Performance Data in Advertisements of 529 College Savings Plans and Other Municipal Funds Securities Become Effective on December 1, 2005

Rule Number:

Rule G-21

Notice 2005-56 - Informational Notice

Publication date: 11/15/2005

RTRS Performance Statistics Reports Available on RTRS Web

Notice 2005-55 - Informational Notice

Publication date: 10/17/2005

Procedure for Documenting RTRS and Dealer System Outages

Rule Number:

Rule G-14

Notice 2005-54 - Informational Notice

Publication date: 10/13/2005

Revised Series 9/10 Examination

Rule Number:

Rule G-3

Notice 2005-53 - Informational Notice

Publication date: 10/11/2005

Reminder: New Forms G-37 and G-38t To Be Used in Connection with Submissions Under Rules G-37 and G-38 For Calendar Quarter Ended September 30, 2005

Rule Number:

Rule G-37, Rule G-38

Notice 2005-52 - Informational Notice

Publication date: 10/05/2005

SEC Approves Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Books and Records

Rule Number:

Rule G-8, Rule G-20

Notice 2005-51 - Informational Notice

Publication date: 10/03/2005

Reminder: All Dealers Must Review Their Form G-40 Information, On E-Mail Contacts, By October 26, 2005

Notice 2005-50 - Informational Notice

Publication date: 09/26/2005

SEC Approves Amendments to Rule G-37(c), Concerning Solicitation and Coordination of Payments to Political Parties, and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations

Rule Number:

Rule G-37

Notice 2005-49 - Informational Notice

Publication date: 09/12/2005

Technical Amendment to Rule A-8(a), on Adoption of Proposed Rules and Submission to Commission

Rule Number:

Rule A-8

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Notice Regarding MSRB Policy on Interpretive Guidance

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

Enhancements to New Issue Information on EMMA

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

MSRB Updates Electronic Form for Reporting Trades

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

MSRB Seeks Board of Directors Applicants

SEC Approves Proposed Rule Change to MSRB Rule G-14 RTRS Procedures, Paragraph (a)(ii)(C) To Extend the Expiration Date of the Three-Hour Exception

Amendments to Rules A-3(f) and A-6(c), on Board Member Compensation

Notice of Filing of Proposed Rule Change Relating to RTRS Procedures, Under Rule G-14 Reports of Sales or Purchases

MSRB Files Amendment with SEC Relating to Previously Filed Interpretive Notice on the Definition of Solicitation Under Rules G-37 and Rule G-38

Reminder: New Requirements Relating to Performance Data in Advertisements of 529 College Savings Plans and Other Municipal Funds Securities Become Effective on December 1, 2005

RTRS Performance Statistics Reports Available on RTRS Web

Procedure for Documenting RTRS and Dealer System Outages

Revised Series 9/10 Examination

Reminder: New Forms G-37 and G-38t To Be Used in Connection with Submissions Under Rules G-37 and G-38 For Calendar Quarter Ended September 30, 2005

SEC Approves Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Books and Records

Reminder: All Dealers Must Review Their Form G-40 Information, On E-Mail Contacts, By October 26, 2005

SEC Approves Amendments to Rule G-37(c), Concerning Solicitation and Coordination of Payments to Political Parties, and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations

Technical Amendment to Rule A-8(a), on Adoption of Proposed Rules and Submission to Commission

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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