Regulatory Documents

Select regulatory documents by category:

Notice 2023-10 - Informational Notice

Publication date: 11/30/2023

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Notice 2023-09 - Market Advisory

Publication date: 11/02/2023

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Dealers, Issuers, Municipal Advisors

Notice 2023-07 - Approval Notice

Publication date: 09/12/2023

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8

Notice 2023-06 - Approval Notice

Publication date: 05/30/2023

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

Information for:

Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2023-05 - Approval Notice

Publication date: 05/15/2023

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-40

Notice 2023-04 - Informational Notice

Publication date: 04/27/2023

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

Information for:

Dealers

Rule Number:

Rule G-16, Rule G-27

Notice 2023-03 - Approval Notice

Publication date: 03/30/2023

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-46

Notice 2023-01 - Informational Notice

Publication date: 01/05/2023

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 2012-64 - Informational Notice

Publication date: 12/24/2012

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

Notice 2012-62 - Informational Notice

Publication date: 12/17/2012

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

Notice 2012-60 - Informational Notice

Publication date: 11/29/2012

MSRB Extends Implementation Date of Inter-Dealer Regulatory Dollar Price Reporting Requirement

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-57 - Informational Notice

Publication date: 11/16/2012

MSRB Revises Series 53 Study Outline

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2012-53 - Informational Notice

Publication date: 10/25/2012

SEC Approves Enhancement to Large Trade Price Transparency

Information for:

Bank Dealers, Dealers

Notice 2012-54 - Informational Notice

Publication date: 10/25/2012

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

Notice 2012-52 - Informational Notice

Publication date: 10/23/2012

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

Notice 2012-51 - Informational Notice

Publication date: 10/09/2012

Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-49 - Informational Notice

Publication date: 09/27/2012

New Online Procedure for Documenting Dealer System Outages

Information for:

Bank Dealers, Dealers

Notice 2012-48 - Informational Notice

Publication date: 09/24/2012

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

Notice 2012-47 - Informational Notice

Publication date: 09/13/2012

MSRB Creates New Online Training Videos on Making Primary Market and Continuing Disclosure Submissions to the EMMA Website

Information for:

Bank Dealers, Dealers

Notice 2012-46 - Informational Notice

Publication date: 08/27/2012

MSRB and SIFMA to Co-Host Municipal Securities Regulation Seminar in New York

Notice 2012-45 - Informational Notice

Publication date: 08/24/2012

MSRB Files Amendments with SEC to Enhance Price Transparency for Large Trades

Information for:

Bank Dealers, Dealers

Notice 2012-44 - Informational Notice

Publication date: 08/21/2012

MSRB and BDA to Co-Host Municipal Securities Regulation Seminar in Chicago

Notice 2012-42 - Informational Notice

Publication date: 08/10/2012

Changes to Transaction Reporting Requirements Effective November 5, 2012

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-39 - Informational Notice

Publication date: 08/02/2012

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-38 - Informational Notice

Publication date: 07/18/2012

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

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

MSRB Seeks Input and Volunteers for Advisory Groups

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

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

SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers

MSRB Extends Implementation Date of Inter-Dealer Regulatory Dollar Price Reporting Requirement

MSRB Revises Series 53 Study Outline

SEC Approves Enhancement to Large Trade Price Transparency

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

MSRB Files Amendments with SEC to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements

New Online Procedure for Documenting Dealer System Outages

Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities Approved

MSRB Creates New Online Training Videos on Making Primary Market and Continuing Disclosure Submissions to the EMMA Website

MSRB and SIFMA to Co-Host Municipal Securities Regulation Seminar in New York

MSRB Files Amendments with SEC to Enhance Price Transparency for Large Trades

MSRB and BDA to Co-Host Municipal Securities Regulation Seminar in Chicago

Changes to Transaction Reporting Requirements Effective November 5, 2012

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

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

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