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Regulatory Document Type

Compliance Resource
Publication date:
Preparing to Submit MSRB Form A-12
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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Notice 2022-14 - Informational Notice
Publication date:
MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

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Notice 2022-12 - Informational Notice
Publication date:
MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27

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Compliance Resource
Publication date:
Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing
Information for:

Dealers

Rule Number:

Rule G-17, Rule G-27

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Notice 2022-10 - Informational Notice
Publication date:
MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

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Notice 2022-09 - Informational Notice
Publication date:
MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements
Information for:

Dealers

Rule Number:

Rule G-3

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Notice 2022-08 - Approval Notice
Publication date:
SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

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Notice 2022-06 - Informational Notice
Publication date:
MSRB Revises and Resubmits Annual Rate Card Amendments
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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Notice 2022-05 - Informational Notice
Publication date:
MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

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Notice 2022-04 - Informational Notice
Publication date:
MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

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Notice 2022-03 - Informational Notice
Publication date:
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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Compliance Resource
Publication date:
G-32 Form Updates
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Notice 2022-02 - Informational Notice
Publication date:
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

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Notice 2022-01 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Compliance Resource
Publication date:
Annual Affirmation Guide
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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Compliance Resource
Publication date:
MSRB Form G-32
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Notice 2016-29 - Informational Notice
Publication date:
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

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Notice 2016-28 - Approval Notice
Publication date:
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

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Notice 2016-27 - Informational Notice
Publication date:
Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-47

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Notice 2016-26 - Informational Notice
Publication date:
MSRB Announces the Effective Date of the Academic Historical Transaction Data Product
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2016-23 - Request for Comment
Publication date: | Comment due:
Second Request for Comment on Draft Provisions on Minimum Denominations
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 18, 2016

2.  Darcy Versions I and II: E-mail from G. Letti dated September 27, 2016

3.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated October 11, 2016

4.  James J. Angel: Letter dated October 22, 2016

5.  National Association of Bond Lawyers: Letter from Clifford M. Gerber, President, dated December 23, 2016

6.  Romano Brothers & Co.: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated October 18, 2016

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 18, 2016

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Notice 2016-22 - Approval Notice
Publication date:
SEC Approves MSRB Academic Historical Transaction Data Product
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2016-21 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

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Notice 2016-19 - Informational Notice
Publication date:
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

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