Regulatory Documents

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Notice 2014-22 - Informational Notice

Publication date: 12/08/2014

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2014-21 - Informational Notice

Publication date: 11/25/2014

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

Notice 2014-19 - Informational Notice

Publication date: 10/24/2014

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9

Notice 2014-17 - Informational Notice

Publication date: 10/17/2014

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2014-13 - Informational Notice

Publication date: 08/04/2014

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3, Rule G-7, Rule G-27

Notice 2014-10 - Informational Notice

Publication date: 05/12/2014

Guidance on the MSRB Municipal Advisor Registration Process

Information for:

Municipal Advisors

Rule Number:

Rule A-12

Notice 2014-11 - Informational Notice

Publication date: 05/12/2014

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-30, Rule G-48

Notice 2014-09 - Informational Notice

Publication date: 04/17/2014

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2014-07 - Informational Notice

Publication date: 03/12/2014

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-19

Notice 2014-06 - Informational Notice

Publication date: 02/28/2014

Fee Changes for Data Subscription Products and Services

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2014-05 - Informational Notice

Publication date: 02/27/2014

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14, Rule A-12

Notice 2014-03 - Informational Notice

Publication date: 02/24/2014

MSRB to Collect Additional Data About 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule G-8, Rule G-9

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

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Guidance on the MSRB Municipal Advisor Registration Process

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Fee Changes for Data Subscription Products and Services

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

MSRB to Collect Additional Data About 529 College Savings Plans

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