Regulatory Documents

Select regulatory documents by category:

Notice 2022-14 - Informational Notice

Publication date: 12/13/2022

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2022-12 - Informational Notice

Publication date: 11/16/2022

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27

Notice 2022-10 - Informational Notice

Publication date: 10/31/2022

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2022-09 - Informational Notice

Publication date: 08/30/2022

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

Information for:

Dealers

Rule Number:

Rule G-3

Notice 2022-08 - Approval Notice

Publication date: 08/26/2022

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

Notice 2022-06 - Informational Notice

Publication date: 07/29/2022

MSRB Revises and Resubmits Annual Rate Card Amendments

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Notice 2022-05 - Informational Notice

Publication date: 07/25/2022

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2022-04 - Informational Notice

Publication date: 06/24/2022

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

Notice 2022-03 - Informational Notice

Publication date: 06/02/2022

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Notice 2022-02 - Informational Notice

Publication date: 03/02/2022

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2022-01 - Informational Notice

Publication date: 01/13/2022

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 2006-36 - Informational Notice

Publication date: 12/29/2006

Notice Concerning Trades Effected on January 2, 2007 -- National Day of Mourning For Former President Gerald Ford

Rule Number:

Rule G-14

Notice 2006-35 - Informational Notice

Publication date: 12/06/2006

Real-Time Transaction Reporting Update: Upcoming Changes in Rule G-14 and RTRS and Reminders on Existing Requirements Under Rule G-14

Rule Number:

Rule G-14

Notice 2006-34 - Informational Notice

Publication date: 12/05/2006

Notice Concerning Changes to the Comparison Eligibility of Certain Inter-dealer Transactions: Rules G-12(f) and G-14

Rule Number:

Rule G-12, Rule G-14

Notice 2006-33 - Informational Notice

Publication date: 11/24/2006

Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Notice 2006-32 - Informational Notice

Publication date: 11/21/2006

MSRB Files Amendments and Interpretive Guidance Relating to Advertisements of Municipal Fund Securities

Rule Number:

Rule G-17, Rule G-21, Rule G-27

Notice 2006-31 - Informational Notice

Publication date: 11/15/2006

RTRS Educational Conference Calls

Notice 2006-30 - Informational Notice

Publication date: 10/31/2006

Reminder of Upcoming RTRS Changes: LOP/TD Indicator and Three-Hour Exception

Rule Number:

Rule G-14

Notice 2006-29 - Informational Notice

Publication date: 10/24/2006

Amendment Filed to Rule A-6, on Committees of the Board

Rule Number:

Rule A-6

Notice 2006-28 - Informational Notice

Publication date: 10/19/2006

Amendments Approved to Rule G-14 RTRS Procedures Relating to "List Offering Price" and "Takedown" Transactions

Rule Number:

Rule G-14

Notice 2006-27 - Informational Notice

Publication date: 08/15/2006

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 2006-25 - Informational Notice

Publication date: 08/11/2006

Revised Series 51 Study Outline Filed with SEC

Rule Number:

Rule G-3

Notice 2006-24 - Informational Notice

Publication date: 08/09/2006

MSRB To Seek Next Generation Leadership

Notice 2006-22 - Informational Notice

Publication date: 08/02/2006

MSRB and TBMA to Hold Compliance Seminar on October 26, 2006

Notice 2006-18 - Informational Notice

Publication date: 06/19/2006

Revised Series 53 Study Outline and Test Specifications Filed with SEC

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

MSRB Revises and Resubmits Annual Rate Card Amendments

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Notice Concerning Trades Effected on January 2, 2007 -- National Day of Mourning For Former President Gerald Ford

Real-Time Transaction Reporting Update: Upcoming Changes in Rule G-14 and RTRS and Reminders on Existing Requirements Under Rule G-14

Notice Concerning Changes to the Comparison Eligibility of Certain Inter-dealer Transactions: Rules G-12(f) and G-14

Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention

MSRB Files Amendments and Interpretive Guidance Relating to Advertisements of Municipal Fund Securities

RTRS Educational Conference Calls

Reminder of Upcoming RTRS Changes: LOP/TD Indicator and Three-Hour Exception

Amendment Filed to Rule A-6, on Committees of the Board

Amendments Approved to Rule G-14 RTRS Procedures Relating to "List Offering Price" and "Takedown" Transactions

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

Revised Series 51 Study Outline Filed with SEC

MSRB To Seek Next Generation Leadership

MSRB and TBMA to Hold Compliance Seminar on October 26, 2006

Revised Series 53 Study Outline and Test Specifications Filed with SEC

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