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-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 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

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

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market