Regulatory Documents

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SEC Filing SR-MSRB-2022-10

Publication date: 12/13/2022

Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes

Federal Register Notice of Immediately Effective Proposed Rule Change (December 22, 2022 )

SEC Approval Order (December 16, 2022 )

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SEC Filing SR-MSRB-2022-09

Publication date: 11/16/2022

Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease

Federal Register Notice of Immediately Effective Proposed Rule Change (November 23, 2022 )

SEC Approval Order (November 17, 2022 )

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SEC Filing SR-MSRB-2022-08

Publication date: 11/16/2022

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023

Federal Register Notice of Immediately Effective Proposed Rule Change (November 23, 2022 )

SEC Approval Order (November 17, 2022 )

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SEC Filing SR-MSRB-2022-07

Publication date: 08/30/2022

Proposed Rule Change to Amend MSRB Rule G-3 Continuing Education Program Requirements to Harmonize with Industry-Wide Transformation

Federal Register Notice of Immediately Effective Rule Change (September 13, 2022 )

SEC Approval Order (September 07, 2022 )

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SEC Filing SR-MSRB-2022-06

Publication date: 07/29/2022

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

MSRB Response to Comments (September 19, 2022 )

Federal Register Notice of Immediately Effective Rule Change (August 09, 2022 )

SEC Approval Order (August 03, 2022 )

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SEC Filing SR-MSRB-2022-05

Publication date: 07/01/2022

Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Federal Register Notice of Approval (August 31, 2022 )

SEC Approval Order (August 25, 2022 )

MSRB Response to Comments (August 22, 2022 )

Federal Register Notice of Filing (July 13, 2022 )

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SEC Filing SR-MSRB-2022-04

Publication date: 06/07/2022

Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB’s Officers

Federal Register Notice of Immediately Effective Rule Change (June 17, 2022 )

SEC Approval Order (June 13, 2022 )

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SEC Filing SR-MSRB-2022-03

Publication date: 06/02/2022

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 (SR-MSRB-2022-03 WITHDRAWN)

Federal Register Notice of Withdrawal (August 03, 2022 )

MSRB Withdrawal of Filing (July 21, 2022 )

Federal Register Notice of Immediately Effective Rule Change (June 15, 2022 )

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SEC Filing SR-MSRB-2022-02

Publication date: 04/29/2022

Proposed Rule Change Consisting of Amendments to Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals [Refiled to make technical changes, original filed on April 19, 2022]

Federal Register Notice of Approval (June 29, 2022 )

SEC Approval Order (June 23, 2022 )

Federal Register Notice of Filing (May 10, 2022 )

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SEC Filing SR-MSRB-2022-01

Publication date: 03/01/2022

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until December 31, 2022 Pursuant to Rule G-27, on Supervision

Federal Register Notice of Immediately Effective Rule Change (March 15, 2022 )

SEC Approval Order (March 09, 2022 )

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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 )

Amendment No. 1 (January 10, 2017 )

MSRB Response to Comments (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 )

Amendment No. 1 (November 14, 2016 )

MSRB Response to Comments (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 )

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

SEC Request for Extension of Time (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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SEC Filing SR-MSRB-2016-02

Publication date: 01/22/2016

Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program

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

SEC Approval Order (February 04, 2016 )

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SEC Filing SR-MSRB-2016-01

Publication date: 01/15/2016

Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board

Federal Register Notice of Approval (March 23, 2016 )

SEC Approval Order (March 17, 2016 )

Federal Register Notice of Filing (February 04, 2016 )

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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 A-12, on Registration, and Accompanying Form A-12 Changes

Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023

Proposed Rule Change to Amend MSRB Rule G-3 Continuing Education Program Requirements to Harmonize with Industry-Wide Transformation

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Proposed Rule Change Consisting of Amendments to Certain Administrative Rules and Articles of the By-Laws of the Municipal Securities Rulemaking Board Relating to the MSRB’s Officers

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13 (SR-MSRB-2022-03 WITHDRAWN)

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until December 31, 2022 Pursuant to Rule G-27, on Supervision

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

Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program

Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board

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