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 )

Amendment No. 1 (July 18, 2024 )

MSRB Response to Comments (July 18, 2024 )

Federal Register Notice of Filing (January 26, 2024 )

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SEC Filing SR-MSRB-2021-06

Publication date: 10/26/2021

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022 Pursuant to MSRB Rule G-27, on Supervision

Federal Register Notice of Immediately Effective Rule Change (November 02, 2021 )

SEC Approval Order (October 27, 2021 )

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SEC Filing SR-MSRB-2021-05

Publication date: 09/02/2021

Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements

Federal Register Notice of Immediately Effective Rule Change (September 16, 2021 )

SEC Approval Order (September 10, 2021 )

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SEC Filing SR-MSRB-2021-04

Publication date: 08/02/2021

Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations

Federal Register Notice of Approval (October 12, 2021 )

SEC Approval Order (October 05, 2021 )

Amendment No. 1 (September 28, 2021 )

MSRB Response to Comments (September 28, 2021 )

SEC Request for Extension of Time (September 28, 2021 )

Federal Register Notice of Filing (August 20, 2021 )

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SEC Filing SR-MSRB-2021-03

Publication date: 05/19/2021

Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions

Federal Register Notice of Immediately Effective Rule Change (May 26, 2021 )

SEC Approval Order (May 20, 2021 )

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SEC Filing SR-MSRB-2021-02

Publication date: 03/01/2021

Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13

Federal Register Notice of Immediately Effective Rule Change (March 09, 2021 )

SEC Approval Order (March 03, 2021 )

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SEC Filing SR-MSRB-2021-01

Publication date: 02/17/2021

Proposed Rule Change to Extend the Compliance Date of Amended Form G-32

Federal Register Notice of Immediately Effective Rule Change (February 26, 2021 )

SEC Approval Order (February 22, 2021 )

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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

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022 Pursuant to MSRB Rule G-27, on Supervision

Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements

Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations

Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions

Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13

Proposed Rule Change to Extend the Compliance Date of Amended Form G-32

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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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