Regulatory Documents

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SEC Filing SR-MSRB-2024-06

Publication date: 07/30/2024

Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection

Federal Register Notice of Immediately Effective Proposed Rule Change (August 07, 2024 )

SEC Approval Order (August 01, 2024 )

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SEC Filing SR-MSRB-2024-05

Publication date: 05/30/2024

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill Their Internal Inspection Obligation of Certain Offices and Locations Remotely for a Pilot Period, Subject to the Conditions Prescribed under FINRA’s Remote Inspections Pilot Program

Federal Register Notice of Immediately Effective Proposed Rule Change (June 12, 2024 )

SEC Approval Order (June 06, 2024 )

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SEC Filing SR-MSRB-2024-04

Publication date: 05/10/2024

Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification

MSRB Response to Comments (July 09, 2024 )

Federal Register Notice of Immediately Effective Proposed Rule Change (May 20, 2024 )

SEC Approval Order (May 14, 2024 )

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SEC Filing SR-MSRB-2024-03

Publication date: 04/09/2024

Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios

Federal Register Notice of Approval (July 17, 2024 )

SEC Approval Order (July 11, 2024 )

MSRB Response to Comments (June 14, 2024 )

SEC Request for Extension of Time (May 23, 2024 )

Federal Register Notice of Filing (April 18, 2024 )

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SEC Filing SR-MSRB-2024-02

Publication date: 03/21/2024

Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11

Federal Register Notice of Immediately Effective Proposed Rule Change (March 28, 2024 )

SEC Approval Order (March 22, 2024 )

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SEC Filing SR-MSRB-2024-01

Publication date: 01/12/2024

Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB

Federal Register Notice of Approval (September 26, 2024 )

SEC Approval Order (September 20, 2024 )

Federal Register Notice of Amendment No. 1 (July 31, 2024 )

MSRB Response to Comments (July 18, 2024 )

Amendment No. 1 (July 18, 2024 )

Federal Register Notice of Filing (January 26, 2024 )

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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 the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill Their Internal Inspection Obligation of Certain Offices and Locations Remotely for a Pilot Period, Subject to the Conditions Prescribed under FINRA’s Remote Inspections Pilot Program

Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification

Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios

Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11

Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities 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

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market