Regulatory Documents

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SEC Filing SR-MSRB-2016-03

Publication date: 02/23/2016

Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice

Federal Register Notice of Immediately Effective Rule Change (March 14, 2016 )

SEC Approval Order (March 08, 2016 )

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SEC Filing SR-MSRB-2016-02

Publication date: 01/22/2016

Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program

Federal Register Notice of Immediately Effective Rule Change (February 10, 2016 )

SEC Approval Order (February 04, 2016 )

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SEC Filing SR-MSRB-2016-01

Publication date: 01/15/2016

Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board

Federal Register Notice of Approval (March 23, 2016 )

SEC Approval Order (March 17, 2016 )

Federal Register Notice of Filing (February 04, 2016 )

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SEC Filing SR-MSRB-2015-14

Publication date: 12/16/2015

Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms

Federal Register Notice of Filing (December 30, 2015 )

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SEC Filing SR-MSRB-2015-13

Publication date: 12/04/2015

Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB's Address on the Forms

Federal Register Notice of Immediately Effective Rule Change (December 21, 2015 )

SEC Approval Order (December 15, 2015 )

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SEC Filing SR-MSRB-2015-12

Publication date: 11/02/2015

Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing

Federal Register Notice of Immediately Effective Rule Change (November 20, 2015 )

SEC Approval Order (November 16, 2015 )

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SEC Filing SR-MSRB-2015-11

Publication date: 09/29/2015

Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)

Federal Register Notice of Immediately Effective Rule Change (October 20, 2015 )

SEC Approval Order (October 14, 2015 )

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SEC Filing SR-MSRB-2015-10

Publication date: 09/03/2015

Proposed Rule Change to Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Amendments

Federal Register Notice of Immediately Effective Rule Change (September 23, 2015 )

SEC Approval Order (September 17, 2015 )

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SEC Filing SR-MSRB-2015-09

Publication date: 09/02/2015

Proposed Rule Change Consisting of Amendments to MSRB Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (November 13, 2015 )

SEC Approval Order (November 06, 2015 )

MSRB Response to Comments (November 02, 2015 )

Federal Register Notice of Filing (September 22, 2015 )

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SEC Filing SR-MSRB-2015-08

Publication date: 08/10/2015

Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers

MSRB Response to Comments (September 30, 2015 )

Federal Register Notice of Immediately Effective Rule Change (August 28, 2015 )

SEC Approval Order (August 24, 2015 )

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SEC Filing SR-MSRB-2015-07

Publication date: 07/31/2015

Revisions to the Content Outlines for the Series 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination

Federal Register Notice of Immediately Effective Rule Change (August 13, 2015 )

SEC Approval Order (August 07, 2015 )

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SEC Filing SR-MSRB-2015-06

Publication date: 07/23/2015

Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, the Real-time Transaction Reporting System and the Short-Term Obligation Rate Transparency System

Federal Register Notice of Immediately Effective Rule Change (August 10, 2015 )

SEC Approval Order (August 04, 2015 )

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SEC Filing SR-MSRB-2015-05

Publication date: 06/30/2015

Proposed Rule Change Consisting of an Amendment to MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register Notice of Immediately Effective Rule Change (July 21, 2015 )

SEC Approval Order (July 15, 2015 )

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SEC Filing SR-MSRB-2015-04

Publication date: 04/22/2015

Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Federal Register Notice of Immediately Effective Rule Change (May 07, 2015 )

SEC Approval Order (May 01, 2015 )

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SEC Filing SR-MSRB-2015-03

Publication date: 04/24/2015

Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors

Federal Register Notice of Approval (December 30, 2015 )

SEC Approval Order (December 23, 2015 )

MSRB Response to Comments (December 16, 2015 )

Federal Register Notice of Filing of Amendment No. 2 (November 17, 2015 )

SEC Notice of Amendment No. 2 (November 10, 2015 )

MSRB Letter to SEC about Amendment No. 2 (November 09, 2015 )

Amendment No. 2 (November 09, 2015 )

SEC Request for Extension of Time (October 28, 2015 )

Federal Register Notice of Filing of Amendment No. 1 (August 25, 2015 )

SEC Notice of Filing of Amendment No. 1 (August 19, 2015 )

Federal Register Publication of Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change (August 12, 2015 )

MSRB Letter to SEC about Amendment No. 1 (August 12, 2015 )

Amendment No. 1 (August 12, 2015 )

MSRB Response to Comments (August 12, 2015 )

SEC Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change (August 06, 2015 )

SEC Request for Extension of Time (June 16, 2015 )

Federal Register Notice of Filing (May 08, 2015 )

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SEC Filing SR-MSRB-2015-02

Publication date: 03/19/2015

Proposed Rule Change Consisting of Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service

Federal Register Notice of Approval (June 01, 2015 )

SEC Approval Order (May 22, 2015 )

MSRB Response to Comments (May 20, 2015 )

SEC Request for Extension of Time (May 08, 2015 )

Federal Register Notice of Filing (March 27, 2015 )

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SEC Filing SR-MSRB-2015-01

Publication date: 03/17/2015

Proposed Rule Change Consisting of Amendments to Rule A-16, on Examination Fees

Federal Register Notice of Immediately Effective Rule Change (March 27, 2015 )

SEC Approval Order (March 23, 2015 )

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SEC Filing (WITHDRAWN) SR-MSRB-2022-03

Publication date: 06/02/2022

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

Federal Register Notice of Withdrawal (August 03, 2022 )

MSRB Withdrawal of Filing (July 21, 2022 )

Federal Register Notice of Immediately Effective Rule Change (June 15, 2022 )

SEC Approval Order (June 09, 2022 )

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SEC Filing (WITHDRAWN) SR-MSRB-2017-01

Publication date: 01/24/2017

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15

Federal Register Notice of Withdrawal (May 11, 2017 )

MSRB Withdrawal of Filing (May 01, 2017 )

SEC Request for Extension of Time (March 21, 2017 )

Federal Register Notice of Filing (February 09, 2017 )

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Notice 2024-05 - Informational Notice

Publication date: 03/21/2024

MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2024-04 - Informational Notice

Publication date: 02/16/2024

Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card

Rule Number:

Rule A-11, Rule A-13

Notice 2024-03 - Approval Notice

Publication date: 02/08/2024

SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date

Rule Number:

Rule G-12

Notice 2024-02 - Informational Notice

Publication date: 01/30/2024

Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Notice 2024-01 - Informational Notice

Publication date: 01/04/2024

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-18

Notice 2023-10 - Informational Notice

Publication date: 11/30/2023

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice

Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program

Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board

Proposed Rule Change to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and Related Recordkeeping Rules and Forms

Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRB's Address on the Forms

Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing

Proposed Rule Change to Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i)

Proposed Rule Change to Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Amendments

Proposed Rule Change Consisting of Amendments to MSRB Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and MSRB Rule G-8, on Books and Records

Proposed Rule Change Consisting of Amendments to MSRB Rule A-12, on Registration, and MSRB Rule A-13, on Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers

Revisions to the Content Outlines for the Series 51, 52 and 53 Examinations and to the Selection Specifications for the Series 53 Examination

Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, the Real-time Transaction Reporting System and the Short-Term Obligation Rate Transparency System

Proposed Rule Change Consisting of an Amendment to MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors

Proposed Rule Change Consisting of Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service

Proposed Rule Change Consisting of Amendments to Rule A-16, on Examination Fees

Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15

MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees

Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card

SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date

Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

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