Select regulatory documents by category:

Regulatory Document Type

Compliance Resource
Publication date:
Steps for Registering as a Municipal Advisor
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule A-12

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Compliance Resource
Publication date:
FAQs on the Series 54 Examination 
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3

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Compliance Resource
Publication date:
FAQs on the Series 50 Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3

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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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Compliance Resource
Publication date:
MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities
Information for:

Dealers

Rule Number:

Rule G-14

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Compliance Resource
Publication date:
MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016
Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-37

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Compliance Resource
Publication date:
Municipal Advisors: Understanding Standards of Conduct
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42

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Compliance Resource
Publication date:
MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

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Compliance Resource
Publication date:
Underwriters: Understanding Duties of Municipal Advisors
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-42

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