Regulatory Documents

Select regulatory documents by category:

Notice 2013-21 - Informational Notice

Publication date: 12/10/2013

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11

Notice 2013-20 - Informational Notice

Publication date: 09/27/2013

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-11, Rule G-32

Notice 2013-18 - Informational Notice

Publication date: 08/12/2013

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Information for:

Bank Dealers, Dealers

Notice 2013-17 - Informational Notice

Publication date: 08/08/2013

Notice Regarding MSRB Policy on Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2013-13 - Informational Notice

Publication date: 06/12/2013

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

Notice 2013-12 - Informational Notice

Publication date: 05/29/2013

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-39

Notice 2013-11 - Informational Notice

Publication date: 05/06/2013

Enhancements to New Issue Information on EMMA

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-32, Rule G-34

Notice 2013-09 - Informational Notice

Publication date: 04/01/2013

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37

Notice 2013-08 - Informational Notice

Publication date: 03/25/2013

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2013-05 - Informational Notice

Publication date: 02/12/2013

MSRB Updates Electronic Form for Reporting Trades

Information for:

Bank Dealers, Dealers

Notice 2013-03 - Informational Notice

Publication date: 01/31/2013

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2013-01 - Informational Notice

Publication date: 01/07/2013

MSRB Seeks Board of Directors Applicants

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2010-62 - Informational Notice

Publication date: 12/30/2010

SEC Approves Transaction Fee Increase and New Technology Fee

Rule Number:

Rule A-13

Notice 2010-60 - Informational Notice

Publication date: 12/29/2010

MSRB Municipal Advisor Registration Deadline and SEC Guidance on Definition of Municipal Advisor

Notice 2010-61 - Informational Notice

Publication date: 12/29/2010

MSRB Publishes SHORT System Technical Specifications for SEC-Approved Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations

Rule Number:

Rule G-34

Notice 2010-59 - Informational Notice

Publication date: 12/23/2010

MSRB Fair Dealing Rule for Municipal Advisors Approved

Rule Number:

Rule G-17

Notice 2010-58 - Informational Notice

Publication date: 12/20/2010

MSRB Reminder About Los Angeles, CA Outreach Seminar

Notice 2010-57 - Informational Notice

Publication date: 12/17/2010

Reminder: Interpretation on Dealer-Controlled Political Action Committees Under Rule G-37

Rule Number:

Rule G-37

Notice 2010-56 - Informational Notice

Publication date: 12/16/2010

Amendments to Rule G-32 Related to Submission of Information About Continuing Disclosure Undertakings Effective February 14, 2011

Rule Number:

Rule G-32

Notice 2010-55 - Informational Notice

Publication date: 12/13/2010

Reminder to Municipal Advisors About January 1, 2011 Registration Deadline

Rule Number:

Rule A-12

Notice 2010-53 - Informational Notice

Publication date: 12/01/2010

MSRB Makes Technical Changes to SEC Filing on Nominating Committee Proposal

Rule Number:

Rule A-3

Notice 2010-54 - Informational Notice

Publication date: 12/01/2010

Reminder of Changes to the Continuing Disclosure Service of the EMMA System Relating to New SEC Rule 15c2-12 Provisions

Notice 2010-52 - Informational Notice

Publication date: 11/29/2010

MSRB to Host Outreach Seminar in Los Angeles

Notice 2010-51 - Informational Notice

Publication date: 11/24/2010

MSRB Receives SEC Approval to Modify Transaction Data Subscription Services

Notice 2010-49 - Informational Notice

Publication date: 11/15/2010

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Notice Regarding MSRB Policy on Interpretive Guidance

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

Enhancements to New Issue Information on EMMA

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

MSRB Updates Electronic Form for Reporting Trades

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

MSRB Seeks Board of Directors Applicants

SEC Approves Transaction Fee Increase and New Technology Fee

MSRB Municipal Advisor Registration Deadline and SEC Guidance on Definition of Municipal Advisor

MSRB Publishes SHORT System Technical Specifications for SEC-Approved Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations

MSRB Fair Dealing Rule for Municipal Advisors Approved

MSRB Reminder About Los Angeles, CA Outreach Seminar

Reminder: Interpretation on Dealer-Controlled Political Action Committees Under Rule G-37

Amendments to Rule G-32 Related to Submission of Information About Continuing Disclosure Undertakings Effective February 14, 2011

Reminder to Municipal Advisors About January 1, 2011 Registration Deadline

MSRB Makes Technical Changes to SEC Filing on Nominating Committee Proposal

Reminder of Changes to the Continuing Disclosure Service of the EMMA System Relating to New SEC Rule 15c2-12 Provisions

MSRB to Host Outreach Seminar in Los Angeles

MSRB Receives SEC Approval to Modify Transaction Data Subscription Services

MSRB Amends Registration Rules for Dealers and Municipal Advisors

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