Regulatory Documents

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SEC Filing SR-MSRB-2019-13

Publication date: 11/19/2019

Proposed Rule Change to Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System

Federal Register Notice of Approval (February 24, 2020 )

SEC Approval Order (February 18, 2020 )

MSRB Response to Comments (February 06, 2020 )

SEC Request for Extension of Time (December 20, 2019 )

Federal Register Notice of Filing (November 27, 2019 )

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SEC Filing SR-MSRB-2019-12

Publication date: 10/18/2019

Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Federal Register Notice of Immediately Effective Rule Change (November 05, 2019 )

SEC Approval Order (October 30, 2019 )

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SEC Filing SR-MSRB-2019-11

Publication date: 09/11/2019

Proposed Rule Change to Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Increase the Annual Professional Fee Over a Two-Year Phase-In Period

MSRB Response to Comments (November 07, 2019 )

Federal Register Notice of Immediately Effective Rule Change (September 30, 2019 )

SEC Approval Order (September 24, 2019 )

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SEC Filing SR-MSRB-2019-10

Publication date: 08/01/2019

Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities

Federal Register Notice of Approval (November 13, 2019 )

SEC Approval Order (November 06, 2019 )

MSRB Response to Comments (October 31, 2019 )

Amendment No. 2 (October 31, 2019 )

Amendment No. 1 (October 07, 2019 )

MSRB Response to Comments (October 07, 2019 )

SEC Request for Extension of Time (September 10, 2019 )

Federal Register Notice of Filing (August 09, 2019 )

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SEC Filing SR-MSRB-2019-09

Publication date: 04/19/2019

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

Federal Register Notice of Immediately Effective Rule Change (May 06, 2019 )

SEC Approval Order (April 30, 2019 )

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SEC Filing SR-MSRB-2019-08

Publication date: 04/10/2019

Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant

Federal Register Notice of Immediately Effective Rule Change (April 26, 2019 )

SEC Approval Order (April 22, 2019 )

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SEC Filing SR-MSRB-2019-07

Publication date: 04/02/2019

Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings

Federal Register Notice of Approval (July 03, 2019 )

SEC Approval Order (June 27, 2019 )

Amendment No. 1 (June 06, 2019 )

MSRB Response to Comments (June 06, 2019 )

SEC Request for Extension of Time (May 14, 2019 )

Federal Register Notice of Filing (April 12, 2019 )

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SEC Filing SR-MSRB-2019-06

Publication date: 03/14/2019

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Federal Register Notice of Immediately Effective Rule Change (March 28, 2019 )

SEC Approval Order (March 22, 2019 )

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SEC Filing SR-MSRB-2019-05

Publication date: 02/26/2019

Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records

Federal Register Notice of Immediately Effective Rule Change (March 06, 2019 )

SEC Approval Order (February 28, 2019 )

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SEC Filing SR-MSRB-2019-04

Publication date: 02/26/2019

Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules

Federal Register Notice of Immediately Effective Rule Change (March 06, 2019 )

SEC Approval Order (February 28, 2019 )

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SEC Filing SR-MSRB-2019-03

Publication date: 02/25/2019

Proposed Rule Change to the MSRB's Short-Term Obligation Rate Transparency (SHORT) System Information Facility

Federal Register Notice of Immediately Effective Rule Change (March 05, 2019 )

SEC Approval Order (February 27, 2019 )

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SEC Filing SR-MSRB-2019-02

Publication date: 02/11/2019

Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination

Federal Register Notice of Immediately Effective Rule Change (February 21, 2019 )

SEC Approval Order (February 14, 2019 )

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SEC Filing SR-MSRB-2019-01

Publication date: 01/28/2019

Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40

Federal Register Notice of Immediately Effective Rule Change (February 04, 2019 )

SEC Approval Order (January 29, 2019 )

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SEC Filing SR-MSRB-2016-15

Publication date: 11/01/2016

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

Federal Register Notice of Approval (January 23, 2017 )

SEC Approval Order (January 13, 2017 )

MSRB Response to Comments (January 10, 2017 )

Amendment No. 1 (January 10, 2017 )

SEC Request for Extension of Time (December 13, 2016 )

Federal Register Notice of Filing (November 18, 2016 )

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SEC Filing SR-MSRB-2016-14

Publication date: 10/25/2016

Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product

Federal Register Notice of Immediately Effective Rule Change (November 10, 2016 )

SEC Approval Order (November 04, 2016 )

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SEC Filing SR-MSRB-2016-13

Publication date: 10/24/2016

Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum

Federal Register Notice of Immediately Effective Rule Change (November 09, 2016 )

SEC Approval Order (November 03, 2016 )

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SEC Filing SR-MSRB-2016-12

Publication date: 09/01/2016

Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price

Federal Register Notice of Approval (November 23, 2016 )

SEC Approval Order (November 17, 2016 )

MSRB Response to Comments (November 14, 2016 )

Amendment No. 1 (November 14, 2016 )

SEC Request for Extension of Time (October 19, 2016 )

Federal Register Notice of Filing (September 13, 2016 )

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SEC Filing SR-MSRB-2016-11

Publication date: 08/12/2016

Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities

Federal Register Notice of Immediately Effective Rule Change (August 26, 2016 )

SEC Approval Order (August 22, 2016 )

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SEC Filing SR-MSRB-2016-09

Publication date: 06/30/2016

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Federal Register Notice of Approval (September 19, 2016 )

SEC Approval Order (September 13, 2016 )

SEC Request for Extension of Time (September 01, 2016 )

MSRB Letter to SEC about Amendment No. 1 (September 01, 2016 )

Amendment No. 1 (August 31, 2016 )

MSRB Response to Comments (August 29, 2016 )

Federal Register Notice of Filing (July 20, 2016 )

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SEC Filing SR-MSRB-2016-08

Publication date: 06/15/2016

Filing of Revisions to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Federal Register Notice of Immediately Effective Rule Change (July 05, 2016 )

SEC Approval Order (June 28, 2016 )

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SEC Filing SR-MSRB-2016-07

Publication date: 05/11/2016

Proposed Rule Change Consisting of Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities

Federal Register Notice of Approval (August 24, 2016 )

SEC Approval Order (August 18, 2016 )

Amendment No. 1 (July 25, 2016 )

MSRB Letter to SEC about Amendment No. 1 (July 25, 2016 )

SEC Request for Extension of Time (June 30, 2016 )

Federal Register Notice of Filing (June 01, 2016 )

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SEC Filing SR-MSRB-2016-06

Publication date: 05/05/2016

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

Federal Register Notice of Immediately Effective Rule Change (May 25, 2016 )

SEC Approval Order (May 19, 2016 )

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SEC Filing SR-MSRB-2016-05

Publication date: 03/02/2016

Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting

Federal Register Notice of Immediately Effective Rule Change (March 18, 2016 )

SEC Approval Order (March 14, 2016 )

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SEC Filing SR-MSRB-2016-04

Publication date: 03/01/2016

Proposed Rule Change to Amend Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle

Federal Register Notice of Approval (May 04, 2016 )

SEC Approval Order (April 29, 2016 )

Federal Register Notice of Filing (March 18, 2016 )

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SEC Filing SR-MSRB-2016-03

Publication date: 02/23/2016

Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice

Federal Register Notice of Immediately Effective Rule Change (March 14, 2016 )

SEC Approval Order (March 08, 2016 )

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System

Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Proposed Rule Change to Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Increase the Annual Professional Fee Over a Two-Year Phase-In Period

Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities

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

Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant

Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records

Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules

Proposed Rule Change to the MSRB's Short-Term Obligation Rate Transparency (SHORT) System Information Facility

Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination

Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product

Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum

Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price

Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Filing of Revisions to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Proposed Rule Change Consisting of Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting

Proposed Rule Change to Amend Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle

Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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