Regulatory Documents

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Notice 2005-36 - Informational Notice

Publication date: 06/21/2005

MSRB Files An Amendment 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 2005-35 - Informational Notice

Publication date: 06/13/2005

RTRS Web Enhancements and New Reports Implemented June 14, 2005

Notice 2005-34 - Informational Notice

Publication date: 06/08/2005

The Definition of Solicitation Under Rules G-37 and G-38 with the SEC

Rule Number:

Rule G-37, Rule G-38

Notice 2005-32 - Informational Notice

Publication date: 06/02/2005

Notice of Filing of Amendments to Rule G-21 Relating to Month-End Performance Data for Municipal Fund Securities

Rule Number:

Rule G-21

Notice 2005-33 - Informational Notice

Publication date: 06/02/2005

Technical Amendment Filed to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business

Rule Number:

Rule G-37

Notice 2005-31 - Informational Notice

Publication date: 05/27/2005

SEC Approves Amendments to Rule G-21 Relating to Advertisements of Municipal Fund Securities

Rule Number:

Rule G-21

Notice 2005-30 - Informational Notice

Publication date: 05/26/2005

Notice of Filing of Proposed Amendments to Rule G-40, on Electronic Mail Contacts, and Form G-40

Notice 2005-29 - Informational Notice

Publication date: 05/23/2005

Financial Statements-Fiscal Years Ended September 30, 2004 and 2003

Notice 2005-27 - Informational Notice

Publication date: 05/18/2005

RTRS Update and Review of Upcoming Enhancements Seminar

Notice 2005-26 - Informational Notice

Publication date: 05/17/2005

MSRB to Discontinue "Batch" Customer Transaction Reporting on June 1, 2005

Rule Number:

Rule G-14

Notice 2005-25 - Informational Notice

Publication date: 05/03/2005

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, Relating to Delivery of Customer Agreements Containing Predispute Arbitration Clauses

Rule Number:

Rule G-8

Notice 2005-24 - Informational Notice

Publication date: 04/26/2005

Amendment to File No. SR-MSRB-2005-03 Regarding Amendments to Rule G-41, on Anti-Money Laundering Compliance

Rule Number:

Rule G-41

Notice 2005-23 - Informational Notice

Publication date: 04/22/2005

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

Rule Number:

Rule G-3

Notice 2005-21 - Informational Notice

Publication date: 04/01/2005

Amendment No. 1 Filed to Proposal to Add Requirements for Predispute Arbitration Agreements with Customers

Rule Number:

Rule G-8

Notice 2005-22 - Informational Notice

Publication date: 04/01/2005

Notice on Comparison of Inter-Dealer Deliveries that Do Not Represent Inter-Dealer Transactions - "Step Out" Deliveries: Rules G-12(f) and G-14

Rule Number:

Rule G-12, Rule G-14

Notice 2005-20 - Informational Notice

Publication date: 03/23/2005

Amendment Relating to Frequency of Updates from the National Do-Not-Call Registry Pursuant to Rule G-39

Rule Number:

Rule G-39

Notice 2005-19 - Informational Notice

Publication date: 03/22/2005

Real-Time Compliance Data Reports are Available

Rule Number:

Rule G-14

Notice 2005-18 - Informational Notice

Publication date: 03/21/2005

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, to Add Requirements for Predispute Arbitration Agreements with Customers, Effective May 1, 2005

Rule Number:

Rule G-8, Rule A-11

Notice 2005-17 - Informational Notice

Publication date: 03/17/2005

MSRB Files Proposed Amendments to Rule G-38 with SEC

Rule Number:

Rule G-38

Notice 2005-16 - Informational Notice

Publication date: 03/15/2005

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

Rule Number:

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

Notice 2005-15 - Informational Notice

Publication date: 03/08/2005

MSRB Files Comment Letter on SEC Concept Release

Rule Number:

Rule G-37

Notice 2005-14 - Informational Notice

Publication date: 03/04/2005

Amendment to Rule G-41, on Anti-Money Laundering Compliance

Rule Number:

Rule G-41

Notice 2005-13 - Informational Notice

Publication date: 03/02/2005

Reminder Regarding Modification and Cancellation Of Transaction Reports: Rule G-14

Rule Number:

Rule G-14

Notice 2005-12 - Informational Notice

Publication date: 02/28/2005

RTRS Web Educational Conference Calls

Notice 2005-10 - Informational Notice

Publication date: 02/02/2005

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Files An Amendment 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

RTRS Web Enhancements and New Reports Implemented June 14, 2005

The Definition of Solicitation Under Rules G-37 and G-38 with the SEC

Notice of Filing of Amendments to Rule G-21 Relating to Month-End Performance Data for Municipal Fund Securities

Technical Amendment Filed to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business

SEC Approves Amendments to Rule G-21 Relating to Advertisements of Municipal Fund Securities

Notice of Filing of Proposed Amendments to Rule G-40, on Electronic Mail Contacts, and Form G-40

Financial Statements-Fiscal Years Ended September 30, 2004 and 2003

RTRS Update and Review of Upcoming Enhancements Seminar

MSRB to Discontinue "Batch" Customer Transaction Reporting on June 1, 2005

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, Relating to Delivery of Customer Agreements Containing Predispute Arbitration Clauses

Amendment to File No. SR-MSRB-2005-03 Regarding Amendments to Rule G-41, on Anti-Money Laundering Compliance

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

Amendment No. 1 Filed to Proposal to Add Requirements for Predispute Arbitration Agreements with Customers

Notice on Comparison of Inter-Dealer Deliveries that Do Not Represent Inter-Dealer Transactions - "Step Out" Deliveries: Rules G-12(f) and G-14

Amendment Relating to Frequency of Updates from the National Do-Not-Call Registry Pursuant to Rule G-39

Real-Time Compliance Data Reports are Available

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, to Add Requirements for Predispute Arbitration Agreements with Customers, Effective May 1, 2005

MSRB Files Proposed Amendments to Rule G-38 with SEC

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

MSRB Files Comment Letter on SEC Concept Release

Amendment to Rule G-41, on Anti-Money Laundering Compliance

Reminder Regarding Modification and Cancellation Of Transaction Reports: Rule G-14

RTRS Web Educational Conference Calls

MSRB and TBMA to Hold Compliance Seminar on May 25, 2005 in Chicago, IL

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