Regulatory Documents

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Notice 2024-13 - Informational Notice

Publication date: 10/28/2024

MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology

Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Notice 2024-12 - Approval Notice

Publication date: 09/20/2024

SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities

Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-14, IF-1

Notice 2024-11 - Informational Notice

Publication date: 07/30/2024

MSRB Amends Real-Time Transaction Reporting and Price Dissemination Information Facility to Consolidate Subscriber Access to Real-Time Transaction Reporting System Data

Information for:

Dealers

Rule Number:

IF-1

Notice 2024-10 - Approval Notice

Publication date: 07/12/2024

SEC Approves Amendments to Rule G-47 to Add Three New Time of Trade Disclosure Scenarios, Codify and Consolidate Existing Guidance, Delete Certain Guidance, and Make Technical Amendments

Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-47

Notice 2024-08 - Informational Notice

Publication date: 05/31/2024

MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

Notice 2024-07 - Informational Notice

Publication date: 05/22/2024

MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures

Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-15

Notice 2024-06 - Informational Notice

Publication date: 05/10/2024

MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

Notice 2024-05 - Informational Notice

Publication date: 03/21/2024

MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2024-04 - Informational Notice

Publication date: 02/16/2024

Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card

Rule Number:

Rule A-11, Rule A-13

Notice 2024-03 - Approval Notice

Publication date: 02/08/2024

SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date

Rule Number:

Rule G-12

Notice 2024-02 - Informational Notice

Publication date: 01/30/2024

Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Notice 2024-01 - Informational Notice

Publication date: 01/04/2024

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

Information for:

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 Seeks Volunteers for Advisory Groups Including a New Group on Technology

SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities

MSRB Amends Real-Time Transaction Reporting and Price Dissemination Information Facility to Consolidate Subscriber Access to Real-Time Transaction Reporting System Data

SEC Approves Amendments to Rule G-47 to Add Three New Time of Trade Disclosure Scenarios, Codify and Consolidate Existing Guidance, Delete Certain Guidance, and Make Technical Amendments

MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments

MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures

MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions

MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees

Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card

SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date

Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees

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

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market