Select regulatory documents by category:

Regulatory Document Type

Notice 2022-14 - Informational Notice
Publication date:
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

Share
Notice 2022-12 - Informational Notice
Publication date:
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

Share
Notice 2022-10 - Informational Notice
Publication date:
MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Share
Notice 2022-09 - Informational Notice
Publication date:
MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements
Information for:

Dealers

Rule Number:

Rule G-3

Share
Notice 2022-08 - Approval Notice
Publication date:
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

Share
Notice 2022-06 - Informational Notice
Publication date:
MSRB Revises and Resubmits Annual Rate Card Amendments
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Share
Notice 2022-05 - Informational Notice
Publication date:
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

Share
Notice 2022-04 - Informational Notice
Publication date:
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

Share
Notice 2022-03 - Informational Notice
Publication date:
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

Share
Notice 2022-02 - Informational Notice
Publication date:
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

Share
Notice 2022-01 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Share
Notice 2012-64 - Informational Notice
Publication date:
SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-14, Rule G-32, Rule G-34

Share
Notice 2012-62 - Informational Notice
Publication date:
Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-9, Rule G-18, Rule G-43

Share
Notice 2012-60 - Informational Notice
Publication date:
MSRB Extends Implementation Date of Inter-Dealer Regulatory Dollar Price Reporting Requirement
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Share
Notice 2012-57 - Informational Notice
Publication date:
MSRB Revises Series 53 Study Outline
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Share
Notice 2012-53 - Informational Notice
Publication date:
SEC Approves Enhancement to Large Trade Price Transparency
Information for:

Bank Dealers, Dealers

Share
Notice 2012-54 - Informational Notice
Publication date:
Reminder of November 1, 2012 Effective Date Regarding Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-34

Share
Notice 2012-52 - Informational Notice
Publication date:
MSRB Files Amendments with SEC to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-14, Rule G-32, Rule G-34

Share
Notice 2012-51 - Informational Notice
Publication date:
Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Share
Notice 2012-49 - Informational Notice
Publication date:
New Online Procedure for Documenting Dealer System Outages
Information for:

Bank Dealers, Dealers

Share
Notice 2012-48 - Informational Notice
Publication date:
Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities Approved
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-34

Share
Notice 2012-47 - Informational Notice
Publication date:
MSRB Creates New Online Training Videos on Making Primary Market and Continuing Disclosure Submissions to the EMMA Website
Information for:

Bank Dealers, Dealers

Share
Notice 2012-46 - Informational Notice
Publication date:
MSRB and SIFMA to Co-Host Municipal Securities Regulation Seminar in New York

Share
Notice 2012-45 - Informational Notice
Publication date:
MSRB Files Amendments with SEC to Enhance Price Transparency for Large Trades
Information for:

Bank Dealers, Dealers

Share
Notice 2012-44 - Informational Notice
Publication date:
MSRB and BDA to Co-Host Municipal Securities Regulation Seminar in Chicago

Share
Print