Regulatory Documents

Select regulatory documents by category:

SEC Filing SR-MSRB-2020-09

Publication date: 12/02/2020

Proposed Rule Change to Provide Additional Regulatory Relief on a Temporary Basis to Dealers and Municipal Advisors Due to the Sustained Coronavirus (COVID-19) Pandemic

Federal Register Notice of Immediately Effective Rule Change (December 15, 2020 )

SEC Approval Order (December 09, 2020 )

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SEC Filing SR-MSRB-2020-08

Publication date: 10/13/2020

Proposed Rule Change to Amend MSRB Form G-32

Federal Register Notice of Approval (December 15, 2020 )

SEC Approval Order (December 09, 2020 )

Federal Register Notice of Filing (October 28, 2020 )

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SEC Filing SR-MSRB-2020-07

Publication date: 09/25/2020

Proposed Rule Change Consisting of Amendments to the By-Laws of the Municipal Securities Rulemaking Board to Reflect Recent Changes to MSRB Rules A-3, A-4 and A-6

Federal Register Noticce of Immediately Effective Rule Change (October 07, 2020 )

SEC Approval Order (October 01, 2020 )

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SEC Filing SR-MSRB-2020-06

Publication date: 09/15/2020

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

Federal Register Notice of Immediately Effective Rule Change (September 30, 2020 )

SEC Approval Order (September 24, 2020 )

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SEC Filing SR-MSRB-2020-05

Publication date: 09/15/2020

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-4 Relating to Board Quorum, Meeting, and Voting Requirements

Federal Register Notice of Immediately Effective Rule Change (October 01, 2020 )

SEC Approval Order (September 25, 2020 )

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SEC Filing SR-MSRB-2020-04

Publication date: 06/05/2020

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 that are Designed to Improve Board Governance

Federal Register Notice of Approval (August 11, 2020 )

SEC Approval Order (August 05, 2020 )

MSRB Response to Comments (July 29, 2020 )

Federal Register Notice of Filing (June 24, 2020 )

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SEC Filing SR-MSRB-2020-03

Publication date: 05/28/2020

Proposed Rule Change to Waive MSRB Market Activity Fees Related to Transactions with the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System [Refiled to make technical changes. original filed on May 27, 2020]

Federal Register Notice of Immediately Effective Rule Change (June 05, 2020 )

SEC Approval Order (June 01, 2020 )

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SEC Filing SR-MSRB-2020-02

Publication date: 05/01/2020

Proposed Rule Change to Align Certain MSRB Rules to Securities Exchange Act Rule 15l-1, Regulation Best Interest

Federal Register Notice of Approval (July 01, 2020 )

SEC Approval Order (June 25, 2020 )

Federal Register Notice of Filing (May 12, 2020 )

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SEC Filing SR-MSRB-2020-01

Publication date: 04/13/2020

Proposed Rule Change to Provide Dealers and Municipal Advisors Additional Time to Comply with Certain Obligations for a Temporary Period of Time and Temporarily Suspend Late Fees on Payments Owed to the MSRB

Federal Register Notice of Immediately Effective Rule Change (April 24, 2020 )

SEC Approval Order (April 20, 2020 )

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SEC Filing SR-MSRB-2018-10

Publication date: 12/20/2018

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Federal Register Notice of Immediately Effective Rule Change (December 31, 2018 )

SEC Approval Order (December 21, 2018 )

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SEC Filing SR-MSRB-2018-09

Publication date: 12/07/2018

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

Federal Register Notice of Immediately Effective Rule Change (December 21, 2018 )

SEC Approval Order (December 17, 2018 )

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SEC Filing SR-MSRB-2018-08

Publication date: 10/15/2018

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register Notice of Approval (December 18, 2018 )

SEC Approval Order (December 12, 2018 )

Federal Register Notice of Filing (November 02, 2018 )

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SEC Filing SR-MSRB-2018-07

Publication date: 09/19/2018

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

Federal Register Notice of Approval (November 27, 2018 )

SEC Approval Order (November 20, 2018 )

MSRB Response to Comments (November 16, 2018 )

Federal Register Notice of Filing (October 09, 2018 )

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SEC Filing SR-MSRB-2018-06

Publication date: 07/23/2018

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Federal Register Notice of Immediately Effective Rule Change (August 01, 2018 )

SEC Approval Order (July 26, 2018 )

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SEC Filing SR-MSRB-2018-05

Publication date: 06/25/2018

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

Federal Register Notice of Immediately Effective Rule Change (July 06, 2018 )

SEC Approval Order (June 29, 2018 )

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SEC Filing SR-MSRB-2018-04

Publication date: 06/08/2018

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Federal Register Notice of Immediately Effective Rule Change (June 26, 2018 )

SEC Approval Order (June 20, 2018 )

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SEC Filing SR-MSRB-2018-03

Publication date: 05/01/2018

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Federal Register Notice of Immediately Effective Rule Change (May 16, 2018 )

SEC Approval Order (May 10, 2018 )

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SEC Filing SR-MSRB-2018-02

Publication date: 04/02/2018

Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System

Federal Register Notice of Immediately Effective Rule Change (April 18, 2018 )

SEC Approval Order (April 12, 2018 )

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SEC Filing SR-MSRB-2018-01

Publication date: 01/24/2018

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

Federal Register Notice of Approval (May 10, 2018 )

SEC Approval Order (May 07, 2018 )

MSRB Response to Comments (April 30, 2018 )

SEC Request for Extension of Time (March 16, 2018 )

Federal Register Notice of Filing (February 07, 2018 )

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Provide Additional Regulatory Relief on a Temporary Basis to Dealers and Municipal Advisors Due to the Sustained Coronavirus (COVID-19) Pandemic

Proposed Rule Change to Amend MSRB Form G-32

Proposed Rule Change Consisting of Amendments to the By-Laws of the Municipal Securities Rulemaking Board to Reflect Recent Changes to MSRB Rules A-3, A-4 and A-6

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-4 Relating to Board Quorum, Meeting, and Voting Requirements

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 that are Designed to Improve Board Governance

Proposed Rule Change to Waive MSRB Market Activity Fees Related to Transactions with the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System [Refiled to make technical changes. original filed on May 27, 2020]

Proposed Rule Change to Align Certain MSRB Rules to Securities Exchange Act Rule 15l-1, Regulation Best Interest

Proposed Rule Change to Provide Dealers and Municipal Advisors Additional Time to Comply with Certain Obligations for a Temporary Period of Time and Temporarily Suspend Late Fees on Payments Owed to the MSRB

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

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