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Regulatory Document Type

Notice 2021-16 - Informational Notice
Publication date:
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

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Notice 2021-15 - Informational Notice
Publication date:
MSRB Seeks Input and Volunteers for Advisory Group
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

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Notice 2021-14 - Informational Notice
Publication date:
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

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Notice 2021-13 - Informational Notice
Publication date:
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

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Notice 2021-11 - Informational Notice
Publication date:
MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2021-10 - Informational Notice
Publication date:
MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2021-09 - Informational Notice
Publication date:
MSRB Updates Rule A-8, on Rulemaking Procedures
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-8

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Notice 2021-05 - Informational Notice
Publication date:
MSRB Temporarily Reduces Market Activity Fees by 40 Percent
Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

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Notice 2021-04 - Informational Notice
Publication date:
MSRB Extends Compliance Date for Amended Form G-32
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

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Notice 2021-03 - Informational Notice
Publication date:
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

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Notice 2021-02 - Informational Notice
Publication date:
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

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Notice 2021-01 - 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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Notice 2017-25 - Approval Notice
Publication date:
MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

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Notice 2017-24 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans
Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

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Notice 2017-23 - Informational Notice
Publication date:
MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2017-21 - Informational Notice
Publication date:
MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

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Notice 2017-20 - Informational Notice
Publication date:
MSRB Amends Professional Fee for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule A-11

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Notice 2017-18 - Market Advisory
Publication date:
Notice Removed

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Notice 2017-16 - Approval Notice
Publication date:
SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-21

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Notice 2017-15 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

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Notice 2017-14 - Market Advisory
Publication date:
Notice Removed

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Notice 2017-13 - Informational Notice
Publication date:
MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-42

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Notice 2017-12 - Informational Notice
Publication date:
MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-15, Rule G-30

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Notice 2017-10 - Approval Notice
Publication date:
SEC Approves Continuing Education Requirements for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

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Notice 2017-09 - Informational Notice
Publication date:
MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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