Regulatory Documents

Select regulatory documents by category:

Notice 2021-16 - Informational Notice

Publication date: 12/06/2021

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-17, Rule G-27, Rule G-42, Rule G-44

Notice 2021-15 - Informational Notice

Publication date: 11/11/2021

MSRB Seeks Input and Volunteers for Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2021-14 - Informational Notice

Publication date: 10/26/2021

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2021-13 - Informational Notice

Publication date: 10/06/2021

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-10, Rule G-48

Notice 2021-11 - Informational Notice

Publication date: 09/02/2021

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2021-10 - Informational Notice

Publication date: 08/11/2021

MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2021-09 - Informational Notice

Publication date: 05/19/2021

MSRB Updates Rule A-8, on Rulemaking Procedures

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-8

Notice 2021-05 - Informational Notice

Publication date: 03/01/2021

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Notice 2021-04 - Informational Notice

Publication date: 02/17/2021

MSRB Extends Compliance Date for Amended Form G-32

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

Notice 2021-03 - Informational Notice

Publication date: 02/16/2021

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2021-02 - Informational Notice

Publication date: 02/11/2021

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-8, Rule G-12, Rule G-14, Rule G-16, Rule G-17, Rule G-20, Rule G-23, Rule G-33, Rule G-37, Rule G-38

Notice 2021-01 - Informational Notice

Publication date: 01/19/2021

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 2016-29 - Informational Notice

Publication date: 12/01/2016

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-48, Rule D-15

Notice 2016-28 - Approval Notice

Publication date: 11/29/2016

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2016-27 - Informational Notice

Publication date: 11/22/2016

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-47

Notice 2016-26 - Informational Notice

Publication date: 11/17/2016

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-22 - Approval Notice

Publication date: 09/14/2016

SEC Approves MSRB Academic Historical Transaction Data Product

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-21 - Approval Notice

Publication date: 08/19/2016

SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Notice 2016-20 - Informational Notice

Publication date: 08/12/2016

MSRB Delays Reporting of Information by Underwriters of ABLE Programs and Provides Guidance Relating to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities, including ABLE Programs

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-42, Rule G-44, Rule G-45

Notice 2016-19 - Informational Notice

Publication date: 08/09/2016

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2016-18 - Informational Notice

Publication date: 08/04/2016

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-37

Notice 2016-17 - Informational Notice

Publication date: 06/15/2016

MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination

Information for:

Municipal Advisors

Notice 2016-16 - Informational Notice

Publication date: 05/31/2016

MSRB to Launch Permanent Series 50 Exam September 12, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2016-15 - Informational Notice

Publication date: 05/02/2016

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2016-14 - Informational Notice

Publication date: 04/12/2016

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule D-12

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

MSRB Seeks Input and Volunteers for Advisory Group

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)

MSRB Updates Rule A-8, on Rulemaking Procedures

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

MSRB Extends Compliance Date for Amended Form G-32

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

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

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

SEC Approves MSRB Academic Historical Transaction Data Product

SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures

MSRB Delays Reporting of Information by Underwriters of ABLE Programs and Provides Guidance Relating to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities, including ABLE Programs

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination

MSRB to Launch Permanent Series 50 Exam September 12, 2016

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

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