Regulatory Documents

Select regulatory documents by category:

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Amendment No. 1 (July 18, 2024 )

MSRB Response to Comments (July 18, 2024 )

Federal Register Notice of Filing (January 26, 2024 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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

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

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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