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Notice 2026-10 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G-27 on Dealer Supervision
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

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Notice 2026-04 - Informational Notice
Publication date:
MSRB Amends Rule G-20 to Increase Gift Limit, Consistent with Recent FINRA Amendments
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-20

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Notice 2026-03 - Request for Comment
Publication date: | Comment due:
Request for Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review (as revised on May 6, 2026)
Information for:

Bank Dealers, Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-1, Rule G-3, Rule G-20, Rule G-23, Rule G-37

All Comments to Notice 2026-03

  1. American Securities Association: Letter from Jessica R. Giroux, Chief Legal Officer, dated July 20, 2026
  2. First Hawaiian Bank: Email from Ryan Ushijima dated July 10, 2026
  3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated July 20, 2026
  4. PFM Financial Advisors, LLC: Letter from Cheryl Maddox, Chief Legal and Compliance Officer, dated July 20, 2026
  5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated July 20, 2026
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Notice 2026-02 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Notice 2026-01 - Request for Comment
Publication date: | Comment due:
Request for Comment on MSRB Rule G-27 on Dealer Supervision
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-27

All Comments to Notice 2026-01

  1. American Securities Association: Letter from Jessica R. Giroux, Chief Legal Officer, dated March 16, 2026
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, Research and Public Policy, dated March 16, 2026
  3. Peg Henry PLLC: Letter from Margaret C. (Peg) Henry, Sole Member, dated March 6, 2026
  4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated March 16, 2026
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Compliance Resource
Publication date:
Preparing to Submit MSRB Form A-12
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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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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Compliance Resource
Publication date:
Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing
Information for:

Dealers

Rule Number:

Rule G-17, 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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Compliance Resource
Publication date:
G-32 Form Updates
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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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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Compliance Resource
Publication date:
Annual Affirmation Guide
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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