Regulatory Documents

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Notice 2014-19 - Informational Notice

Publication date: 10/24/2014

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9

Notice 2014-10 - Informational Notice

Publication date: 05/12/2014

Guidance on the MSRB Municipal Advisor Registration Process

Information for:

Municipal Advisors

Rule Number:

Rule A-12

Notice 2014-09 - Informational Notice

Publication date: 04/17/2014

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2014-06 - Informational Notice

Publication date: 02/28/2014

Fee Changes for Data Subscription Products and Services

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2014-05 - Informational Notice

Publication date: 02/27/2014

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14, Rule A-12

Notice 2014-03 - Informational Notice

Publication date: 02/24/2014

MSRB to Collect Additional Data About 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule G-8, Rule G-9

Compliance Resource

Publication date: 01/08/2014

FAQs on MSRB Registration

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2013-17 - Informational Notice

Publication date: 08/08/2013

Notice Regarding MSRB Policy on Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2013-11 - Informational Notice

Publication date: 05/06/2013

Enhancements to New Issue Information on EMMA

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-32, Rule G-34

Notice 2013-01 - Informational Notice

Publication date: 01/07/2013

MSRB Seeks Board of Directors Applicants

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2012-64 - Informational Notice

Publication date: 12/24/2012

SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-14, Rule G-32, Rule G-34

Compliance Resource

Publication date:

Instructions for Forms G-37, G-37x and G-38t

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Summary of Ban on Business Provisions Under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

MSRB Registration Manual

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Compliance Resource

Publication date:

Checklist or Handling Client Complaints

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource

Publication date:

Exemptive Relief under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

MSRB Compliance Workshop on the Form G-37 Submission Process

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Checklist for Certain Organizational Changes by Regulated Entities

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Compliance Resource

Publication date:

Information for Municipal Advisory Clients

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-10

Compliance Resource

Publication date:

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Municipal Advisor Outsourcing of Compliance Functions

Information for:

Municipal Advisors

Rule Number:

Rule G-44

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

Guidance on the MSRB Municipal Advisor Registration Process

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

Fee Changes for Data Subscription Products and Services

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

MSRB to Collect Additional Data About 529 College Savings Plans

FAQs on MSRB Registration

Notice Regarding MSRB Policy on Interpretive Guidance

Enhancements to New Issue Information on EMMA

MSRB Seeks Board of Directors Applicants

SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Instructions for Forms G-37, G-37x and G-38t

Summary of Ban on Business Provisions Under MSRB Rule G-37

MSRB Registration Manual

Checklist or Handling Client Complaints

Exemptive Relief under MSRB Rule G-37

MSRB Compliance Workshop on the Form G-37 Submission Process

Checklist for Certain Organizational Changes by Regulated Entities

Information for Municipal Advisory Clients

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Municipal Advisor Outsourcing of Compliance Functions

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