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 2009-64 - Informational Notice

Publication date: 12/21/2009

MSRB Amends Pending Proposal on Underwriter Submission of Information about Continuing Disclosure Undertakings to the MSRB's Electronic Municipal Market Access System (EMMA)

Rule Number:

Rule G-32

Notice 2009-63 - Informational Notice

Publication date: 12/21/2009

MSRB Amends Pending Proposal on Additional Voluntary Submissions by Issuers and Obligated Persons to the MSRB'S Electronic Municipal Market Access System (EMMA)

Notice 2009-62 - Informational Notice

Publication date: 12/04/2009

Amendments Filed to Rule G-37 Regarding Contributions to Bond Ballot Campaigns

Rule Number:

Rule G-37

Notice 2009-61 - Informational Notice

Publication date: 12/01/2009

Reminder of December 1, 2009 Effective Date of Amendments to Rule A-13 on Underwriting Assessments

Rule Number:

Rule G-32, Rule A-13

Notice 2009-60 - Informational Notice

Publication date: 11/24/2009

MSRB Primary Market and Continuing Disclosure Submission Services - Reminder of Upcoming Word-Searchable Document Requirement and Update on Other Submission-Related Matters

Rule Number:

Rule G-32

Notice 2009-59 - Informational Notice

Publication date: 11/18/2009

Rule Amendments and Interpretive Notice Filed Regarding Priority of Orders in Primary Offerings

Rule Number:

Rule G-8, Rule G-9, Rule G-11, Rule G-17

Notice 2009-58 - Informational Notice

Publication date: 11/05/2009

Proposed Rule A-16 on Examination Fees

Rule Number:

Rule A-16

Notice 2009-57 - Informational Notice

Publication date: 10/21/2009

Upcoming Changes to the Real-Time Transaction Reporting System

Notice 2009-55 - Informational Notice

Publication date: 09/30/2009

Amendments Approved to Rules G-11 AND G-12 Regarding Settlement Dates and Payments of Designations

Rule Number:

Rule G-11, Rule G-12

Notice 2009-56 - Informational Notice

Publication date: 09/30/2009

Amendments to Rule A-13 on Underwriting Assessments

Rule Number:

Rule A-13

Notice 2009-54 - Informational Notice

Publication date: 09/29/2009

Reminder Notice on Fair Practice Duties to Issuers of Municipal Securities

Rule Number:

Rule G-17, Rule G-20

Notice 2009-52 - Informational Notice

Publication date: 09/22/2009

MSRB Hosts Webinar Series on Market Information Programs

Notice 2009-53 - Informational Notice

Publication date: 09/22/2009

MSRB and SIFMA to Co-Host Regulatory and Compliance Seminars

Notice 2009-49 - Informational Notice

Publication date: 08/25/2009

Build America Bonds: Reminder of Rule G-15(a) Customer Confirmation Yield Disclosure Requirement

Rule Number:

Rule G-15

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

MSRB Amends Pending Proposal on Underwriter Submission of Information about Continuing Disclosure Undertakings to the MSRB's Electronic Municipal Market Access System (EMMA)

MSRB Amends Pending Proposal on Additional Voluntary Submissions by Issuers and Obligated Persons to the MSRB'S Electronic Municipal Market Access System (EMMA)

Amendments Filed to Rule G-37 Regarding Contributions to Bond Ballot Campaigns

Reminder of December 1, 2009 Effective Date of Amendments to Rule A-13 on Underwriting Assessments

MSRB Primary Market and Continuing Disclosure Submission Services - Reminder of Upcoming Word-Searchable Document Requirement and Update on Other Submission-Related Matters

Rule Amendments and Interpretive Notice Filed Regarding Priority of Orders in Primary Offerings

Proposed Rule A-16 on Examination Fees

Upcoming Changes to the Real-Time Transaction Reporting System

Amendments Approved to Rules G-11 AND G-12 Regarding Settlement Dates and Payments of Designations

Amendments to Rule A-13 on Underwriting Assessments

Reminder Notice on Fair Practice Duties to Issuers of Municipal Securities

MSRB Hosts Webinar Series on Market Information Programs

MSRB and SIFMA to Co-Host Regulatory and Compliance Seminars

Build America Bonds: Reminder of Rule G-15(a) Customer Confirmation Yield Disclosure Requirement

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