Regulatory Documents

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SEC Filing SR-MSRB-2016-11

Publication date: 08/12/2016

Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities

Federal Register Notice of Immediately Effective Rule Change (August 26, 2016 )

SEC Approval Order (August 22, 2016 )

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SEC Filing SR-MSRB-2016-09

Publication date: 06/30/2016

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Federal Register Notice of Approval (September 19, 2016 )

SEC Approval Order (September 13, 2016 )

MSRB Letter to SEC about Amendment No. 1 (September 01, 2016 )

SEC Request for Extension of Time (September 01, 2016 )

Amendment No. 1 (August 31, 2016 )

MSRB Response to Comments (August 29, 2016 )

Federal Register Notice of Filing (July 20, 2016 )

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SEC Filing SR-MSRB-2016-08

Publication date: 06/15/2016

Filing of Revisions to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Federal Register Notice of Immediately Effective Rule Change (July 05, 2016 )

SEC Approval Order (June 28, 2016 )

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SEC Filing SR-MSRB-2016-07

Publication date: 05/11/2016

Proposed Rule Change Consisting of Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities

Federal Register Notice of Approval (August 24, 2016 )

SEC Approval Order (August 18, 2016 )

Amendment No. 1 (July 25, 2016 )

MSRB Letter to SEC about Amendment No. 1 (July 25, 2016 )

SEC Request for Extension of Time (June 30, 2016 )

Federal Register Notice of Filing (June 01, 2016 )

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SEC Filing SR-MSRB-2016-06

Publication date: 05/05/2016

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

Federal Register Notice of Immediately Effective Rule Change (May 25, 2016 )

SEC Approval Order (May 19, 2016 )

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SEC Filing SR-MSRB-2016-05

Publication date: 03/02/2016

Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting

Federal Register Notice of Immediately Effective Rule Change (March 18, 2016 )

SEC Approval Order (March 14, 2016 )

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SEC Filing SR-MSRB-2016-04

Publication date: 03/01/2016

Proposed Rule Change to Amend Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle

Federal Register Notice of Approval (May 04, 2016 )

SEC Approval Order (April 29, 2016 )

Federal Register Notice of Filing (March 18, 2016 )

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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 )

Amendment No. 1 (August 12, 2015 )

MSRB Response to Comments (August 12, 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 )

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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Compliance Resource

Publication date: 11/19/2025

Steps for Registering as a Municipal Advisor

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule A-12

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Filing of Revisions to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50)

Proposed Rule Change Consisting of Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities

Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation

Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting

Proposed Rule Change to Amend Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle

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

Steps for Registering as a Municipal Advisor

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