Regulatory Documents

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Notice 2016-02 - Request for Comment

Publication date: 01/06/2016 | Comment due: 03/06/2016

Request for Comment on Amendments to MSRB Rule G-12 on Close-Out Procedures

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 4, 2016

2. Breena LLC: E-mail from Geraldine Lettieri dated January 6, 2016

3. National Securities Clearing Corporation: Letter from Murray C. Pozmanter, Managing Director, dated January 12, 2016

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2016

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Compliance Resource

Publication date: 01/04/2016

Underwriters: Understanding Duties of Municipal Advisors

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-42

Notice 2016-01 - Informational Notice

Publication date: 01/04/2016

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

SEC Filing

Publication date: 12/31/2005

2005 SEC Filings

All 2005 SEC filings (December 31, 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 2005-57 - Request for Comment

Publication date: 11/18/2005 | Comment due: 01/17/2006

Request for Comments on the Underwriting Activities of Financial Advisors

Rule Number:

Rule G-23

No comments available.

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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

Notice 2005-48 - Informational Notice

Publication date: 09/01/2005

New Advertising Requirements for Municipal Fund Securities Become Effective

Notice 2005-47 - Informational Notice

Publication date: 08/30/2005

SEC Approves Amendments Relating to Official Statement Delivery Requirements Under Rule G-32, Rule G-36 and Rule G-11

Rule Number:

Rule G-11, Rule G-32, Rule G-36

Notice 2005-46 - Informational Notice

Publication date: 08/29/2005

New Rule G-38, on Solicitation of Municipal Securities Business, and New Forms G-37, G-37x and G-38t Become Effective

Rule Number:

Rule G-38

Notice 2005-45 - Informational Notice

Publication date: 08/23/2005

SEC Approves Amendments to Rule G-21 Relating to Month-End Performance Data for Municipal Fund Securities

Rule Number:

Rule G-21

Notice 2005-44 - Informational Notice

Publication date: 08/18/2005

SEC Approves Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-8, Rule G-37, Rule G-38

Notice 2005-43 - Informational Notice

Publication date: 08/17/2005

Rule G-14 Real-Time Transaction Reporting Update

Rule Number:

Rule G-14

Notice 2005-42 - Informational Notice

Publication date: 08/11/2005

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Request for Comment on Amendments to MSRB Rule G-12 on Close-Out Procedures

Underwriters: Understanding Duties of Municipal Advisors

MSRB Seeks Applicants for Board of Directors

2005 SEC Filings

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

Request for Comments on the Underwriting Activities of Financial Advisors

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

New Advertising Requirements for Municipal Fund Securities Become Effective

SEC Approves Amendments Relating to Official Statement Delivery Requirements Under Rule G-32, Rule G-36 and Rule G-11

New Rule G-38, on Solicitation of Municipal Securities Business, and New Forms G-37, G-37x and G-38t Become Effective

SEC Approves Amendments to Rule G-21 Relating to Month-End Performance Data for Municipal Fund Securities

SEC Approves Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule G-14 Real-Time Transaction Reporting Update

MSRB and TBMA to Hold Compliance Seminar on October 18, 2005

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