Regulatory Documents

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SEC Filing SR-MSRB-2023-07

Publication date: 12/20/2023

Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date [Refiled to make technical changes, original filed on December 14, 2023]

Federal Register Notice of Approval (February 13, 2024 )

SEC Approval Order (February 07, 2024 )

MSRB Response to Comments (February 01, 2024 )

Federal Register Notice of Filing (December 28, 2023 )

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SEC Filing SR-MSRB-2023-06

Publication date: 11/30/2023

Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)

MSRB Withdrawal of Filing (February 16, 2024 )

SEC Suspension and Order Instituting Proceedings (January 29, 2024 )

MSRB Response to Comments (January 26, 2024 )

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SEC Filing SR-MSRB-2023-05

Publication date: 07/21/2023

Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books and Records Requirements [Refiled to make technical changes, original filed on July 17, 2023]

Federal Register Notice of Approval (September 18, 2023 )

SEC Approval Order (September 12, 2023 )

MSRB Response to Comments (August 31, 2023 )

Federal Register Notice of Filing (July 31, 2023 )

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SEC Filing SR-MSRB-2023-04

Publication date: 04/27/2023

Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

Federal Register Notice of Immediately Effective Proposed Rule Change (May 08, 2023 )

SEC Approval Order (May 02, 2023 )

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SEC Filing SR-MSRB-2023-03

Publication date: 03/28/2023

Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference

Federal Register Notice of Approval (June 01, 2023 )

SEC Approval Order (May 25, 2023 )

MSRB Response to Comments (May 11, 2023 )

Federal Register Notice of Filing (April 12, 2023 )

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SEC Filing SR-MSRB-2023-02

Publication date: 01/31/2023

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (April 04, 2023 )

SEC Approval Order (March 29, 2023 )

MSRB Response to Comments (March 23, 2023 )

Amendment No. 1 (March 23, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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SEC Filing SR-MSRB-2023-01

Publication date: 01/31/2023

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (May 17, 2023 )

SEC Approval Order (May 11, 2023 )

MSRB Response to Comments (April 28, 2023 )

Federal Register Notice of Amendment No. 1 (April 11, 2023 )

MSRB Response to Comments (April 04, 2023 )

Amendment No. 1 (April 04, 2023 )

SEC Request for Extension of TIme (March 21, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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SEC Filing SR-MSRB-2015-14

Publication date: 12/16/2015

Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms

Federal Register Notice of Filing (December 30, 2015 )

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SEC Filing SR-MSRB-2015-13

Publication date: 12/04/2015

Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB's Address on the Forms

Federal Register Notice of Immediately Effective Rule Change (December 21, 2015 )

SEC Approval Order (December 15, 2015 )

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SEC Filing SR-MSRB-2015-12

Publication date: 11/02/2015

Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing

Federal Register Notice of Immediately Effective Rule Change (November 20, 2015 )

SEC Approval Order (November 16, 2015 )

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SEC Filing SR-MSRB-2015-11

Publication date: 09/29/2015

Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)

Federal Register Notice of Immediately Effective Rule Change (October 20, 2015 )

SEC Approval Order (October 14, 2015 )

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SEC Filing SR-MSRB-2015-10

Publication date: 09/03/2015

Proposed Rule Change to Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Amendments

Federal Register Notice of Immediately Effective Rule Change (September 23, 2015 )

SEC Approval Order (September 17, 2015 )

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SEC Filing SR-MSRB-2015-09

Publication date: 09/02/2015

Proposed Rule Change Consisting of Amendments to MSRB Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (November 13, 2015 )

SEC Approval Order (November 06, 2015 )

MSRB Response to Comments (November 02, 2015 )

Federal Register Notice of Filing (September 22, 2015 )

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SEC Filing SR-MSRB-2015-08

Publication date: 08/10/2015

Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers

MSRB Response to Comments (September 30, 2015 )

Federal Register Notice of Immediately Effective Rule Change (August 28, 2015 )

SEC Approval Order (August 24, 2015 )

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SEC Filing SR-MSRB-2015-07

Publication date: 07/31/2015

Revisions to the Content Outlines for the Series 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination

Federal Register Notice of Immediately Effective Rule Change (August 13, 2015 )

SEC Approval Order (August 07, 2015 )

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SEC Filing SR-MSRB-2015-06

Publication date: 07/23/2015

Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, the Real-time Transaction Reporting System and the Short-Term Obligation Rate Transparency System

Federal Register Notice of Immediately Effective Rule Change (August 10, 2015 )

SEC Approval Order (August 04, 2015 )

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SEC Filing SR-MSRB-2015-05

Publication date: 06/30/2015

Proposed Rule Change Consisting of an Amendment to MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register Notice of Immediately Effective Rule Change (July 21, 2015 )

SEC Approval Order (July 15, 2015 )

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SEC Filing SR-MSRB-2015-03

Publication date: 04/24/2015

Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors

Federal Register Notice of Approval (December 30, 2015 )

SEC Approval Order (December 23, 2015 )

MSRB Response to Comments (December 16, 2015 )

Federal Register Notice of Filing of Amendment No. 2 (November 17, 2015 )

SEC Notice of Amendment No. 2 (November 10, 2015 )

Amendment No. 2 (November 09, 2015 )

MSRB Letter to SEC about Amendment No. 2 (November 09, 2015 )

SEC Request for Extension of Time (October 28, 2015 )

Federal Register Notice of Filing of Amendment No. 1 (August 25, 2015 )

SEC Notice of Filing of Amendment No. 1 (August 19, 2015 )

MSRB Response to Comments (August 12, 2015 )

Federal Register Publication of Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change (August 12, 2015 )

MSRB Letter to SEC about Amendment No. 1 (August 12, 2015 )

Amendment No. 1 (August 12, 2015 )

SEC Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change (August 06, 2015 )

SEC Request for Extension of Time (June 16, 2015 )

Federal Register Notice of Filing (May 08, 2015 )

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SEC Filing SR-MSRB-2015-04

Publication date: 04/22/2015

Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Federal Register Notice of Immediately Effective Rule Change (May 07, 2015 )

SEC Approval Order (May 01, 2015 )

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SEC Filing SR-MSRB-2015-02

Publication date: 03/19/2015

Proposed Rule Change Consisting of Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service

Federal Register Notice of Approval (June 01, 2015 )

SEC Approval Order (May 22, 2015 )

MSRB Response to Comments (May 20, 2015 )

SEC Request for Extension of Time (May 08, 2015 )

Federal Register Notice of Filing (March 27, 2015 )

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SEC Filing SR-MSRB-2015-01

Publication date: 03/17/2015

Proposed Rule Change Consisting of Amendments to Rule A-16, on Examination Fees

Federal Register Notice of Immediately Effective Rule Change (March 27, 2015 )

SEC Approval Order (March 23, 2015 )

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date [Refiled to make technical changes, original filed on December 14, 2023]

Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)

Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms

Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB's Address on the Forms

Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing

Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)

Proposed Rule Change to Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Amendments

Proposed Rule Change Consisting of Amendments to MSRB Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and MSRB Rule G-8, on Books and Records

Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers

Revisions to the Content Outlines for the Series 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination

Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, the Real-time Transaction Reporting System and the Short-Term Obligation Rate Transparency System

Proposed Rule Change Consisting of an Amendment to MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors

Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Proposed Rule Change Consisting of Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service

Proposed Rule Change Consisting of Amendments to Rule A-16, on Examination Fees

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