Regulatory Documents

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Notice 2011-62 - Informational Notice

Publication date: 11/07/2011

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

Rule Number:

Rule G-3, Rule G-27

Notice 2011-61 - Informational Notice

Publication date: 11/03/2011

MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Rule Number:

Rule G-17

Notice 2011-60 - Informational Notice

Publication date: 10/13/2011

MSRB Files with the SEC Amendments to Rule G-16 to Facilitate Risk-based Compliance Exams and to Rule G-9, on Preservation of Records

Rule Number:

Rule G-9, Rule G-16

Notice 2011-59 - Informational Notice

Publication date: 10/05/2011

MSRB to Host Education and Outreach Seminar in New York

Notice 2011-58 - Informational Notice

Publication date: 10/04/2011

Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34)

Rule Number:

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

Notice 2011-57 - Informational Notice

Publication date: 10/03/2011

SEC Approves MSRB Proposal Regarding Board Composition; Changes Filed to Articles of Incorporation

Notice 2011-55 - Informational Notice

Publication date: 09/15/2011

Reminder of September 22, 2011 Deadline in Rule G-34(c) for Dealer Submission of ARS and VRDO Documents to the SHORT System

Rule Number:

Rule G-34

Notice 2011-54 - Informational Notice

Publication date: 09/13/2011

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

Rule Number:

Rule G-3, Rule G-7

Notice 2011-51 - Informational Notice

Publication date: 09/12/2011

MSRB Withdraws Pending Municipal Advisor Rule Proposals

Notice 2011-53 - Informational Notice

Publication date: 09/12/2011

MSRB Files Proposed Rule Change with SEC to Extend the Effective Date of Amendments to EMMA to Provide Credit Ratings and Related Information for Municipal Securities on EMMA

Notice 2011-52 - Informational Notice

Publication date: 09/12/2011

Potential Applicability of MSRB Rules to Certain “Direct Purchases” and “Bank Loans”

Notice 2011-50 - Request for Comment

Publication date: 09/08/2011 | Comment due: 11/03/2011

Request for Comment on Revised Draft Rule G-43 (On Broker’s Brokers), Associated Revised Draft Amendments to Rule G-8 (On Books and Records) and Rule G-9 (On Preservation of Records), and Draft Interpretive Notice on the Obligations of Dealers that Use the Services of Broker’s Brokers

Rule Number:

Rule G-8, Rule G-9

1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 3, 2011

2. Dolan, Tom: Letter dated October 21, 2011

3. Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President and CEO, dated November 3, 2011

4. Knight BondPoint: Letter from Marshall Nicholson, Managing Director, dated November 3, 2011

5. Regional Brokers, Inc.: Letter from Joseph A. Hemphill III, President, and H. Deane Armstrong, CCO, dated November 1, 2011

6. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 2, 2011

7. TMC Bonds L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 3, 2011

8. Vista Securities, Inc.: Letter from Paul Larkin, President, dated November 1, 2011

9. Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated November 3, 2011

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Notice 2011-49 - Informational Notice

Publication date: 08/24/2011

MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal Entities on Behalf of Others

Rule Number:

Rule G-17

Notice 2011-48 - Informational Notice

Publication date: 08/23/2011

MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice

Notice 2011-47 - Informational Notice

Publication date: 08/22/2011

MSRB Files Rule G-44 (On Supervision of Municipal Advisory Activities) and Associated Amendments to Rule G-8 (On Books and Records) and G-9 (On Preservation of Records)

Notice 2011-46 - Informational Notice

Publication date: 08/19/2011

MSRB Files Pay to Play Rule for Municipal Advisors and Changes to Dealer Pay to Play Rule

Rule Number:

Rule G-8, Rule G-9

Notice 2011-45 - Informational Notice

Publication date: 08/15/2011

MSRB to Provide Written Verification of Municipal Advisor and Dealer Registration Status

Notice 2011-44 - Informational Notice

Publication date: 08/12/2011

Rule G-34(c) ARS and VRDO Data Element Clarification and Reminder of Timeliness and Accuracy Requirement

Rule Number:

Rule G-34

Notice 2011-43 - Informational Notice

Publication date: 08/11/2011

MSRB Files with the SEC Amendments to Rule A-3 to Establish a Permanent Board Structure

Rule Number:

Rule A-3

Notice 2011-41 - Request for Comment

Publication date: 08/10/2011 | Comment due: 09/14/2011

Request for Comment on Draft Amendments to MSRB Rule G-21 (on Advertising) and Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 (on Fair Dealing) to Certain Communications

Rule Number:

Rule G-9, Rule G-17, Rule G-21

1. College Savings Plans Network: Letter from Joan Marshall, Chair, dated September 14, 2011

2. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 14, 2011

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Notice 2011-42 - Request for Comment

Publication date: 08/10/2011 | Comment due: 09/14/2011

Request for Comment on Draft Rule G-46 (on Activities of Municipal Advisors)

1. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 14, 2011

2. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated September 13, 2011

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Notice 2011-39 - Informational Notice

Publication date: 08/08/2011

MSRB and SIFMA to Co-Host Municipal Securities Regulation Seminar in New York

Notice 2011-38 - Informational Notice

Publication date: 08/04/2011

Amendments Filed Regarding MSRB Rule G-20 on Gifts and Gratuities

Rule Number:

Rule G-8, Rule G-9, Rule G-20

Notice 2011-37 - Informational Notice

Publication date: 08/03/2011

Financial Advisors, Private Placements, and Bank Loans

Notice 2011-36 - Informational Notice

Publication date: 08/02/2011

Interpretive Guidance Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Rule Number:

Rule G-17

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

MSRB Files with the SEC Amendments to Rule G-16 to Facilitate Risk-based Compliance Exams and to Rule G-9, on Preservation of Records

MSRB to Host Education and Outreach Seminar in New York

Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34)

SEC Approves MSRB Proposal Regarding Board Composition; Changes Filed to Articles of Incorporation

Reminder of September 22, 2011 Deadline in Rule G-34(c) for Dealer Submission of ARS and VRDO Documents to the SHORT System

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

MSRB Withdraws Pending Municipal Advisor Rule Proposals

MSRB Files Proposed Rule Change with SEC to Extend the Effective Date of Amendments to EMMA to Provide Credit Ratings and Related Information for Municipal Securities on EMMA

Potential Applicability of MSRB Rules to Certain “Direct Purchases” and “Bank Loans”

Request for Comment on Revised Draft Rule G-43 (On Broker’s Brokers), Associated Revised Draft Amendments to Rule G-8 (On Books and Records) and Rule G-9 (On Preservation of Records), and Draft Interpretive Notice on the Obligations of Dealers that Use the Services of Broker’s Brokers

MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal Entities on Behalf of Others

MSRB Files Municipal Advisor Fiduciary Duty Rule and Interpretive Notice

MSRB Files Rule G-44 (On Supervision of Municipal Advisory Activities) and Associated Amendments to Rule G-8 (On Books and Records) and G-9 (On Preservation of Records)

MSRB Files Pay to Play Rule for Municipal Advisors and Changes to Dealer Pay to Play Rule

MSRB to Provide Written Verification of Municipal Advisor and Dealer Registration Status

Rule G-34(c) ARS and VRDO Data Element Clarification and Reminder of Timeliness and Accuracy Requirement

MSRB Files with the SEC Amendments to Rule A-3 to Establish a Permanent Board Structure

Request for Comment on Draft Amendments to MSRB Rule G-21 (on Advertising) and Draft Interpretive Notice Concerning the Application of MSRB Rule G-17 (on Fair Dealing) to Certain Communications

Request for Comment on Draft Rule G-46 (on Activities of Municipal Advisors)

MSRB and SIFMA to Co-Host Municipal Securities Regulation Seminar in New York

Amendments Filed Regarding MSRB Rule G-20 on Gifts and Gratuities

Financial Advisors, Private Placements, and Bank Loans

Interpretive Guidance Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market