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 2011-69 - Informational Notice

Publication date: 12/19/2011

SEC Approves Amendments to MSRB Rule G-16 to Facilitate Risk-Based Compliance Examinations and Amendments to MSRB Rule G-9, on Preservation of Records

Notice 2011-68 - Informational Notice

Publication date: 12/05/2011

MSRB to Host Education and Outreach Seminar in Miami

Notice 2011-66 - Informational Notice

Publication date: 11/28/2011

Reminder that Revised MSRB Rule G-23 Concerning the Activities of Financial Advisors Becomes Effective Today

Rule Number:

Rule G-23

Notice 2011-65 - Informational Notice

Publication date: 11/18/2011

Reminder of Upcoming Effective Date of Revised MSRB Rule G-23 Concerning the Activities of Financial Advisors

Rule Number:

Rule G-23

Notice 2011-64 - Informational Notice

Publication date: 11/14/2011

Amendments to EMMA to Provide Credit Ratings and Related Information for Municipal Securities on EMMA Effective November 21, 2011

Notice 2011-62 - Informational Notice

Publication date: 11/07/2011

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

Rule Number:

Rule G-3, Rule G-27

Notice 2011-61 - Informational Notice

Publication date: 11/03/2011

MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Rule Number:

Rule G-17

Notice 2011-60 - Informational Notice

Publication date: 10/13/2011

MSRB Files with the SEC Amendments to Rule G-16 to Facilitate Risk-based Compliance Exams and to Rule G-9, on Preservation of Records

Rule Number:

Rule G-9, Rule G-16

Notice 2011-59 - Informational Notice

Publication date: 10/05/2011

MSRB to Host Education and Outreach Seminar in New York

Notice 2011-58 - Informational Notice

Publication date: 10/04/2011

Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34)

Rule Number:

Rule G-14, Rule G-32, Rule G-34

Notice 2011-57 - Informational Notice

Publication date: 10/03/2011

SEC Approves MSRB Proposal Regarding Board Composition; Changes Filed to Articles of Incorporation

Notice 2011-55 - Informational Notice

Publication date: 09/15/2011

Reminder of September 22, 2011 Deadline in Rule G-34(c) for Dealer Submission of ARS and VRDO Documents to the SHORT System

Rule Number:

Rule G-34

Notice 2011-54 - Informational Notice

Publication date: 09/13/2011

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

Rule Number:

Rule G-3, Rule G-7

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 Amendments to MSRB Rule G-16 to Facilitate Risk-Based Compliance Examinations and Amendments to MSRB Rule G-9, on Preservation of Records

MSRB to Host Education and Outreach Seminar in Miami

Reminder that Revised MSRB Rule G-23 Concerning the Activities of Financial Advisors Becomes Effective Today

Reminder of Upcoming Effective Date of Revised MSRB Rule G-23 Concerning the Activities of Financial Advisors

Amendments to EMMA to Provide Credit Ratings and Related Information for Municipal Securities on EMMA Effective November 21, 2011

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

MSRB Files with the SEC Amendments to Rule G-16 to Facilitate Risk-based Compliance Exams and to Rule G-9, on Preservation of Records

MSRB to Host Education and Outreach Seminar in New York

Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34)

SEC Approves MSRB Proposal Regarding Board Composition; Changes Filed to Articles of Incorporation

Reminder of September 22, 2011 Deadline in Rule G-34(c) for Dealer Submission of ARS and VRDO Documents to the SHORT System

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

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