Regulatory Documents

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SEC Filing SR-MSRB-2022-02

Publication date: 04/29/2022

Proposed Rule Change Consisting of Amendments to Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals [Refiled to make technical changes, original filed on April 19, 2022]

Federal Register Notice of Approval (June 29, 2022 )

SEC Approval Order (June 23, 2022 )

Federal Register Notice of Filing (May 10, 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

SEC Filing SR-MSRB-2022-01

Publication date: 03/01/2022

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until December 31, 2022 Pursuant to Rule G-27, on Supervision

Federal Register Notice of Immediately Effective Rule Change (March 15, 2022 )

SEC Approval Order (March 09, 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

Compliance Resource

Publication date: 01/01/2022

Annual Affirmation Guide

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

SEC Filing

Publication date: 12/31/2007

2007 SEC Filings

All 2007 SEC filings (December 31, 2007 )

Reporting of Transactions Arising From Customer Repurchase Agreements: Rule G-14

Rule Number:

Rule G-14

Notice 2007-39 - Informational Notice

Publication date: 12/20/2007

New RTRS Error Message and Changes to Existing RTRS Error Messages

Notice 2007-38 - Informational Notice

Publication date: 12/18/2007

SEC Approves Amendments to Rule G-40 on E-Mail Contacts, Effective December 31, 2007

Notice 2007-37 - Informational Notice

Publication date: 11/28/2007

Announcing MSRB 529 Compliance Seminars

Notice 2007-36 - Informational Notice

Publication date: 11/27/2007

Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System

Rule Number:

Rule G-8, Rule G-9, Rule G-14, Rule G-34

Notice 2007-35 - Informational Notice

Publication date: 11/19/2007

Dealer Data Quality Summary of Correspondent's Trades

Notice 2007-34 - Informational Notice

Publication date: 11/16/2007

RTRS Educational Conference Calls

Rule Number:

Rule G-14, Rule G-12

Notice 2007-33 - Informational Notice

Publication date: 11/15/2007

MSRB Files Pilot Portal for On-Line Dissemination of Official Statements and Related Information and Seeks Comments on Revised Draft Amendments to Establish an Access Equals Delivery Standard Under Rule G-32

Rule Number:

Rule G-32

Notice 2007-32 - Informational Notice

Publication date: 11/08/2007

Guidance on Implementation of New Supervisory Requirements Under Rule G-27; Technical Amendments Filed

Rule Number:

Rule G-27

Notice 2007-31 - Informational Notice

Publication date: 10/16/2007

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

Notice 2007-30 - Informational Notice

Publication date: 10/02/2007

MSRB and SIFMA to Hold Compliance Seminar on October 22, 2007

Notice 2007-28 - Informational Notice

Publication date: 09/17/2007

Further Technical Amendment Filed to Rule A-3, on Membership on the Board

Rule Number:

Rule A-3

Notice 2007-27 - Informational Notice

Publication date: 09/14/2007

Notice of Filing and Immediate Effectiveness of Proposal to Delay Implementation of Amendments to Rule G-27, on Supervision

Rule Number:

Rule G-27

Notice 2007-26 - Informational Notice

Publication date: 08/22/2007

RTRS Web Enhancement: Extended Hours

Rule Number:

Rule G-14

Notice 2007-25 - Informational Notice

Publication date: 08/13/2007

SEC Approval Relating to Reporting Special Condition Indicators for Certain Special Trading Situations

Rule Number:

Rule G-14

Notice 2007-24 - Informational Notice

Publication date: 08/09/2007

Amendment Filed to Rule A-3, on Membership on the Board

Rule Number:

Rule A-3

Notice 2007-23 - Informational Notice

Publication date: 07/16/2007

REMINDER: Disclosure Requirements Relating to Maximum Sales Load and Total Operating Expense Ratio in Performance Advertisements of Municipal Fund Securities have Become Effective

Rule Number:

Rule G-21, Rule G-27

Notice 2007-22 - Informational Notice

Publication date: 06/29/2007

SIFMA, MSRB, and DTCC to hold NIIDS/NUWS

Notice 2007-21 - Informational Notice

Publication date: 06/18/2007

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

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

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until December 31, 2022 Pursuant to Rule G-27, on Supervision

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

Annual Affirmation Guide

2007 SEC Filings

Reporting of Transactions Arising From Customer Repurchase Agreements: Rule G-14

New RTRS Error Message and Changes to Existing RTRS Error Messages

SEC Approves Amendments to Rule G-40 on E-Mail Contacts, Effective December 31, 2007

Announcing MSRB 529 Compliance Seminars

Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System

Dealer Data Quality Summary of Correspondent's Trades

RTRS Educational Conference Calls

MSRB Files Pilot Portal for On-Line Dissemination of Official Statements and Related Information and Seeks Comments on Revised Draft Amendments to Establish an Access Equals Delivery Standard Under Rule G-32

Guidance on Implementation of New Supervisory Requirements Under Rule G-27; Technical Amendments Filed

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

MSRB and SIFMA to Hold Compliance Seminar on October 22, 2007

Further Technical Amendment Filed to Rule A-3, on Membership on the Board

Notice of Filing and Immediate Effectiveness of Proposal to Delay Implementation of Amendments to Rule G-27, on Supervision

RTRS Web Enhancement: Extended Hours

SEC Approval Relating to Reporting Special Condition Indicators for Certain Special Trading Situations

Amendment Filed to Rule A-3, on Membership on the Board

REMINDER: Disclosure Requirements Relating to Maximum Sales Load and Total Operating Expense Ratio in Performance Advertisements of Municipal Fund Securities have Become Effective

SIFMA, MSRB, and DTCC to hold NIIDS/NUWS

Lynnette Kelly Hotchkiss Joins MSRB as New Executive Director

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