Select regulatory documents by category:

Regulatory Document Type

Compliance Resource
Publication date:
Steps for Registering as a Municipal Advisor
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule A-12

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Compliance Resource
Publication date:
FAQs on the Series 54 Examination 
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3

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Compliance Resource
Publication date:
FAQs on the Series 50 Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3

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Compliance Resource
Publication date:
FAQs Regarding MSRB Rule G-12 on Close-Outs
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

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Compliance Resource
Publication date:
Guide to Printing a Certificate of Current MSRB Registraion
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

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Compliance Resource
Publication date:
RTRS Users Manual
Information for:

Dealers

Rule Number:

Rule G-14

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Compliance Resource
Publication date:
Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

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Compliance Resource
Publication date:
FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

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Compliance Resource
Publication date:
FAQs on Price Variance Alerts on Reported Trades
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

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Compliance Resource
Publication date:
Resources Related to 2019 Municipal Securities Examination Priorities
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

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Compliance Resource
Publication date:
Understanding MSRB Rules Regarding Gifts, Gratuities and Non-Cash Compensation
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-20

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