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Notice 2022-14 - Informational Notice
Publication date:
MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

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Notice 2022-12 - Informational Notice
Publication date:
MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27

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Notice 2022-10 - Informational Notice
Publication date:
MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

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Notice 2022-09 - Informational Notice
Publication date:
MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements
Information for:

Dealers

Rule Number:

Rule G-3

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Notice 2022-08 - Approval Notice
Publication date:
SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

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Notice 2022-06 - Informational Notice
Publication date:
MSRB Revises and Resubmits Annual Rate Card Amendments
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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Notice 2022-05 - Informational Notice
Publication date:
MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

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Notice 2022-04 - Informational Notice
Publication date:
MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

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Notice 2022-03 - Informational Notice
Publication date:
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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Notice 2022-02 - Informational Notice
Publication date:
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

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Notice 2022-01 - 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 2019-21 - Informational Notice
Publication date:
MSRB Establishes a Compliance Date of November 30, 2020, for Amendments to Form G-32
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

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Notice 2019-20 - Approval Notice
Publication date:
SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

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Notice 2019-19 - Informational Notice
Publication date:
MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2019-18 - Informational Notice
Publication date:
MSRB to Launch Permanent Series 54 Examination November 12, 2019
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2019-17 - Informational Notice
Publication date:
MSRB Seeks Input and Volunteers for Advisory Groups
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2019-16 - Approval Notice
Publication date:
MSRB Amends Professional Fee for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule A-11

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Notice 2019-15 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

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Notice 2019-14 - Informational Notice
Publication date:
MSRB Announces June 3, 2019 Operative Date for Technical Amendments
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

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Notice 2019-12 - Informational Notice
Publication date:
MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-29

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Notice 2019-11 - Informational Notice
Publication date:
MSRB Updates Rulebook with Nonsubstantive, Technical Amendments
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

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Notice 2019-10 - Informational Notice
Publication date:
MSRB Proposes Amendments to Rules Related to Primary Offering Practices
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

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Notice 2019-09 - 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 2019-07 - Informational Notice
Publication date:
MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

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Notice 2019-06 - Informational Notice
Publication date:
MSRB Amends Rule A-16 on Examination Fees
Information for:

Municipal Advisors

Rule Number:

Rule A-16

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