Regulatory Documents

Select regulatory documents by category:

Notice 2019-21 - Informational Notice

Publication date: 12/20/2019

MSRB Establishes a Compliance Date of November 30, 2020, for Amendments to Form G-32

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

Notice 2019-20 - Approval Notice

Publication date: 11/08/2019

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2019-19 - Informational Notice

Publication date: 10/18/2019

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-18 - Informational Notice

Publication date: 10/11/2019

MSRB to Launch Permanent Series 54 Examination November 12, 2019

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-17 - Informational Notice

Publication date: 10/10/2019

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2019-16 - Approval Notice

Publication date: 09/11/2019

MSRB Amends Professional Fee for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2019-15 - Approval Notice

Publication date: 06/28/2019

SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

Notice 2019-14 - Informational Notice

Publication date: 05/21/2019

MSRB Announces June 3, 2019 Operative Date for Technical Amendments

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

Notice 2019-12 - Informational Notice

Publication date: 04/19/2019

MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-29

Notice 2019-11 - Informational Notice

Publication date: 04/10/2019

MSRB Updates Rulebook with Nonsubstantive, Technical Amendments

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

Notice 2019-10 - Informational Notice

Publication date: 03/21/2019

MSRB Proposes Amendments to Rules Related to Primary Offering Practices

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

Notice 2019-09 - Informational Notice

Publication date: 03/13/2019

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 2019-07 - Informational Notice

Publication date: 02/26/2019

MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-06 - Informational Notice

Publication date: 02/11/2019

MSRB Amends Rule A-16 on Examination Fees

Information for:

Municipal Advisors

Rule Number:

Rule A-16

Notice 2019-05 -

Publication date: 02/07/2019

MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18

Notice 2019-04 - Informational Notice

Publication date: 02/05/2019

MSRB Identifies Priority Rules for Retrospective Review in 2019

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2019-03 - Informational Notice

Publication date: 01/28/2019

MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-02 - Informational Notice

Publication date: 01/07/2019

MSRB Solicits Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Establishes a Compliance Date of November 30, 2020, for Amendments to Form G-32

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

MSRB to Launch Permanent Series 54 Examination November 12, 2019

MSRB Seeks Input and Volunteers for Advisory Groups

MSRB Amends Professional Fee for Municipal Advisors

SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices

MSRB Announces June 3, 2019 Operative Date for Technical Amendments

MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules

MSRB Updates Rulebook with Nonsubstantive, Technical Amendments

MSRB Proposes Amendments to Rules Related to Primary Offering Practices

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

MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments

MSRB Amends Rule A-16 on Examination Fees

MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution

MSRB Identifies Priority Rules for Retrospective Review in 2019

MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40

MSRB Solicits Applicants for Board of Directors

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

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