Regulatory Documents

Select regulatory documents by category:

Notice 2021-16 - Informational Notice

Publication date: 12/06/2021

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-17, Rule G-27, Rule G-42, Rule G-44

Notice 2021-15 - Informational Notice

Publication date: 11/11/2021

MSRB Seeks Input and Volunteers for Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2021-14 - Informational Notice

Publication date: 10/26/2021

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2021-13 - Informational Notice

Publication date: 10/06/2021

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-10, Rule G-48

Notice 2021-11 - Informational Notice

Publication date: 09/02/2021

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2021-10 - Informational Notice

Publication date: 08/11/2021

MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2021-09 - Informational Notice

Publication date: 05/19/2021

MSRB Updates Rule A-8, on Rulemaking Procedures

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-8

Notice 2021-05 - Informational Notice

Publication date: 03/01/2021

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Notice 2021-04 - Informational Notice

Publication date: 02/17/2021

MSRB Extends Compliance Date for Amended Form G-32

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

Notice 2021-03 - Informational Notice

Publication date: 02/16/2021

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2021-02 - Informational Notice

Publication date: 02/11/2021

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-8, Rule G-12, Rule G-14, Rule G-16, Rule G-17, Rule G-20, Rule G-23, Rule G-33, Rule G-37, Rule G-38

Notice 2021-01 - Informational Notice

Publication date: 01/19/2021

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 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 Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

MSRB Seeks Input and Volunteers for Advisory Group

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)

MSRB Updates Rule A-8, on Rulemaking Procedures

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

MSRB Extends Compliance Date for Amended Form G-32

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

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

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

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market