Regulatory Documents

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Notice 2004-32 - Request for Comment

Publication date: 09/29/2004 | Comment due: 12/15/2004

Request for Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business (as modified on October 12, 2004)

Rule Number:

Rule G-8, Rule G-37

No comments available.

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Notice 2004-18 - Request for Comment

Publication date: 06/18/2004 | Comment due: 08/18/2004

Notice Requesting Comment on Draft Amendments to Rule G-34 to Facilitate Real-Time Transaction Reporting and Explaining Time of Trade for Reporting New Issue Trades

Rule Number:

Rule G-34

No comments available.

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Notice 2004-17 - Request for Comment

Publication date: 06/15/2004 | Comment due: 07/30/2004

Request for Comments on Draft Amendments to Rules G-20 and G-8 Relating to Gifts, Gratuities and Non-Cash Compensation in Municipal Debt Offerings and Sales of Municipal Fund Securities

Rule Number:

Rule G-20, Rule G-8

No comments available.

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Notice 2004-16 - Request for Comment

Publication date: 06/10/2004 | Comment due: 09/15/2004

Request for Comments on Draft Amendments Relating to Advertisements of Municipal Fund Securities and Draft Interpretive Guidance on Disclosures in Connection with Out-of-State Sales of College Savings Plan Shares

Rule Number:

Rule G-21, Rule G-17

No comments available.

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Notice 2004-12 - Request for Comment

Publication date: 05/12/2004 | Comment due: 06/25/2004

Request for Comments on Draft Amendments Relating to Official Statement Delivery Requirements Under Rule G-32 and Rule G-36

Rule Number:

Rule G-32

No comments available.

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Notice 2004-11 - Request for Comment

Publication date: 04/05/2004 | Comment due: 06/04/2004

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-37, Rule G-8, Rule G-9

No comments available.

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Notice 2003-23 - Request for Comment

Publication date: 06/13/2003 | Comment due: 09/15/2003

Request for Comment: Plan for Real –Time Price Reporting

Rule Number:

Rule G-14

No comments available.

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Notice 2002-12 - Request for Comment

Publication date: 04/02/2002 | Comment due: 06/03/2002

Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions

Rule Number:

Rule G-37

No comments available.

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Notice 2001-45 - Request for Comment

Publication date: 12/19/2001 | Comment due: 01/25/2002

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Rule Number:

Rule G-3, Rule G-37

No comments available.

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Notice 2001-25 - Request for Comment

Publication date: 07/06/2001 | Comment due: 10/01/2001

Notice and Draft Interpretive Guidance on Rule G-17—Disclosure of Material Facts and Interpretive Guidance Concerning Sophisticated Municipal Market Professionals

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-13

No comments available.

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Notice 2001-19 - Request for Comment

Publication date: 06/04/2001 | Comment due: 09/30/2001

MSRB Review of Rule G-37

Rule Number:

Rule G-37

No comments available.

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Notice 2001-17 - Request for Comment

Publication date: 05/29/2001 | Comment due: 09/30/2001

Request for Comments on Real-Time Reporting of Municipal Securities Transactions

No comments available.

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Notice 2001-13 - Request for Comment

Publication date: 03/28/2001 | Comment due: 06/07/2001

Request for Comments on Official Communications

Rule Number:

Rule G-15

No comments available.

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Notice 2001-08 - Request for Comment

Publication date: 03/14/2001 | Comment due: 06/01/2001

Request for Comments on Minimum Denominations

Rule Number:

Rule G-15

No comments available.

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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

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

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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Request for Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business (as modified on October 12, 2004)

Notice Requesting Comment on Draft Amendments to Rule G-34 to Facilitate Real-Time Transaction Reporting and Explaining Time of Trade for Reporting New Issue Trades

Request for Comments on Draft Amendments to Rules G-20 and G-8 Relating to Gifts, Gratuities and Non-Cash Compensation in Municipal Debt Offerings and Sales of Municipal Fund Securities

Request for Comments on Draft Amendments Relating to Advertisements of Municipal Fund Securities and Draft Interpretive Guidance on Disclosures in Connection with Out-of-State Sales of College Savings Plan Shares

Request for Comments on Draft Amendments Relating to Official Statement Delivery Requirements Under Rule G-32 and Rule G-36

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Request for Comment: Plan for Real –Time Price Reporting

Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Notice and Draft Interpretive Guidance on Rule G-17—Disclosure of Material Facts and Interpretive Guidance Concerning Sophisticated Municipal Market Professionals

MSRB Review of Rule G-37

Request for Comments on Real-Time Reporting of Municipal Securities Transactions

Request for Comments on Official Communications

Request for Comments on Minimum Denominations

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

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

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

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

MSRB Registration Manual

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