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Notice 2025-04 - Informational Notice
Publication date:
Delayed Announcement of Effective Date for Amendment to MSRB Rule G-14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
Information for:

General Public, Investors

Rule Number:

Rule G-12, Rule G-14, IF-1

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Notice 2025-01 - Informational Notice
Publication date:
Notice Concerning Trades Effected on January 9, 2025 – National Day of Mourning for Former President James Earl Carter, Jr.
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-14

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Notice 2024-13 - Informational Notice
Publication date:
MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

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Notice 2024-12 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-14, IF-1

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Notice 2024-08 - Informational Notice
Publication date:
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

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Notice 2024-07 - Informational Notice
Publication date:
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-15

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Notice 2024-06 - Informational Notice
Publication date:
MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-27

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

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Summary Table of New Fields for Amended Form G-32
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Frequently Asked Questions About Form G-32
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
LIBOR Transition Information
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

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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:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44, Rule A-12

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Notice 2018-18 - Regulatory Reminder
Publication date:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44

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Compliance Resource
Publication date:
FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection
Information for:

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

Rule Number:

Rule G-8, Rule G-9, Rule G-10

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Notice 2017-12 - Informational Notice
Publication date:
MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-15, Rule G-30

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Compliance Resource
Publication date:
MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide
Information for:

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

Rule Number:

Rule G-8

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Compliance Resource
Publication date:
MSRB Form G-32
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Notice 2009-42 - Informational Notice
Publication date:
Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities
Information for:

Dealers, Investors

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

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Compliance Resource
Publication date:
Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

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Compliance Resource
Publication date:
Best Execution: The Investor's Perspective
Information for:

Dealers, Investors

Rule Number:

Rule G-18

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Compliance Resource
Publication date:
Information for Municipal Securities Investors
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-10

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