Regulatory Documents

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SEC Filing SR-MSRB-2020-05

Publication date: 09/15/2020

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-4 Relating to Board Quorum, Meeting, and Voting Requirements

Federal Register Notice of Immediately Effective Rule Change (October 01, 2020 )

SEC Approval Order (September 25, 2020 )

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SEC Filing SR-MSRB-2020-04

Publication date: 06/05/2020

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 that are Designed to Improve Board Governance

Federal Register Notice of Approval (August 11, 2020 )

SEC Approval Order (August 05, 2020 )

MSRB Response to Comments (July 29, 2020 )

Federal Register Notice of Filing (June 24, 2020 )

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SEC Filing SR-MSRB-2020-03

Publication date: 05/28/2020

Proposed Rule Change to Waive MSRB Market Activity Fees Related to Transactions with the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System [Refiled to make technical changes. original filed on May 27, 2020]

Federal Register Notice of Immediately Effective Rule Change (June 05, 2020 )

SEC Approval Order (June 01, 2020 )

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SEC Filing SR-MSRB-2020-02

Publication date: 05/01/2020

Proposed Rule Change to Align Certain MSRB Rules to Securities Exchange Act Rule 15l-1, Regulation Best Interest

Federal Register Notice of Approval (July 01, 2020 )

SEC Approval Order (June 25, 2020 )

Federal Register Notice of Filing (May 12, 2020 )

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SEC Filing SR-MSRB-2020-01

Publication date: 04/13/2020

Proposed Rule Change to Provide Dealers and Municipal Advisors Additional Time to Comply with Certain Obligations for a Temporary Period of Time and Temporarily Suspend Late Fees on Payments Owed to the MSRB

Federal Register Notice of Immediately Effective Rule Change (April 24, 2020 )

SEC Approval Order (April 20, 2020 )

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SEC Filing SR-MSRB-2019-13

Publication date: 11/19/2019

Proposed Rule Change to Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System

Federal Register Notice of Approval (February 24, 2020 )

SEC Approval Order (February 18, 2020 )

MSRB Response to Comments (February 06, 2020 )

SEC Request for Extension of Time (December 20, 2019 )

Federal Register Notice of Filing (November 27, 2019 )

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SEC Filing SR-MSRB-2019-12

Publication date: 10/18/2019

Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Federal Register Notice of Immediately Effective Rule Change (November 05, 2019 )

SEC Approval Order (October 30, 2019 )

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SEC Filing SR-MSRB-2019-11

Publication date: 09/11/2019

Proposed Rule Change to Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Increase the Annual Professional Fee Over a Two-Year Phase-In Period

MSRB Response to Comments (November 07, 2019 )

Federal Register Notice of Immediately Effective Rule Change (September 30, 2019 )

SEC Approval Order (September 24, 2019 )

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SEC Filing SR-MSRB-2019-10

Publication date: 08/01/2019

Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities

Federal Register Notice of Approval (November 13, 2019 )

SEC Approval Order (November 06, 2019 )

Amendment No. 2 (October 31, 2019 )

MSRB Response to Comments (October 31, 2019 )

Amendment No. 1 (October 07, 2019 )

MSRB Response to Comments (October 07, 2019 )

SEC Request for Extension of Time (September 10, 2019 )

Federal Register Notice of Filing (August 09, 2019 )

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SEC Filing SR-MSRB-2019-09

Publication date: 04/19/2019

Proposed Rule Change to Eliminate MSRB Rule G-29, on Availability of Board Rules

Federal Register Notice of Immediately Effective Rule Change (May 06, 2019 )

SEC Approval Order (April 30, 2019 )

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SEC Filing SR-MSRB-2019-08

Publication date: 04/10/2019

Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant

Federal Register Notice of Immediately Effective Rule Change (April 26, 2019 )

SEC Approval Order (April 22, 2019 )

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SEC Filing SR-MSRB-2019-07

Publication date: 04/02/2019

Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings

Federal Register Notice of Approval (July 03, 2019 )

SEC Approval Order (June 27, 2019 )

MSRB Response to Comments (June 06, 2019 )

Amendment No. 1 (June 06, 2019 )

SEC Request for Extension of Time (May 14, 2019 )

Federal Register Notice of Filing (April 12, 2019 )

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SEC Filing SR-MSRB-2019-06

Publication date: 03/14/2019

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Federal Register Notice of Immediately Effective Rule Change (March 28, 2019 )

SEC Approval Order (March 22, 2019 )

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SEC Filing SR-MSRB-2019-05

Publication date: 02/26/2019

Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records

Federal Register Notice of Immediately Effective Rule Change (March 06, 2019 )

SEC Approval Order (February 28, 2019 )

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SEC Filing SR-MSRB-2019-04

Publication date: 02/26/2019

Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules

Federal Register Notice of Immediately Effective Rule Change (March 06, 2019 )

SEC Approval Order (February 28, 2019 )

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SEC Filing SR-MSRB-2019-03

Publication date: 02/25/2019

Proposed Rule Change to the MSRB's Short-Term Obligation Rate Transparency (SHORT) System Information Facility

Federal Register Notice of Immediately Effective Rule Change (March 05, 2019 )

SEC Approval Order (February 27, 2019 )

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SEC Filing SR-MSRB-2019-02

Publication date: 02/11/2019

Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination

Federal Register Notice of Immediately Effective Rule Change (February 21, 2019 )

SEC Approval Order (February 14, 2019 )

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SEC Filing SR-MSRB-2019-01

Publication date: 01/28/2019

Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40

Federal Register Notice of Immediately Effective Rule Change (February 04, 2019 )

SEC Approval Order (January 29, 2019 )

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SEC Filing SR-MSRB-2018-10

Publication date: 12/20/2018

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Federal Register Notice of Immediately Effective Rule Change (December 31, 2018 )

SEC Approval Order (December 21, 2018 )

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SEC Filing SR-MSRB-2018-09

Publication date: 12/07/2018

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

Federal Register Notice of Immediately Effective Rule Change (December 21, 2018 )

SEC Approval Order (December 17, 2018 )

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SEC Filing SR-MSRB-2018-08

Publication date: 10/15/2018

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register Notice of Approval (December 18, 2018 )

SEC Approval Order (December 12, 2018 )

Federal Register Notice of Filing (November 02, 2018 )

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SEC Filing SR-MSRB-2018-07

Publication date: 09/19/2018

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

Federal Register Notice of Approval (November 27, 2018 )

SEC Approval Order (November 20, 2018 )

MSRB Response to Comments (November 16, 2018 )

Federal Register Notice of Filing (October 09, 2018 )

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SEC Filing SR-MSRB-2018-06

Publication date: 07/23/2018

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Federal Register Notice of Immediately Effective Rule Change (August 01, 2018 )

SEC Approval Order (July 26, 2018 )

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SEC Filing SR-MSRB-2018-05

Publication date: 06/25/2018

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

Federal Register Notice of Immediately Effective Rule Change (July 06, 2018 )

SEC Approval Order (June 29, 2018 )

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SEC Filing SR-MSRB-2018-04

Publication date: 06/08/2018

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Federal Register Notice of Immediately Effective Rule Change (June 26, 2018 )

SEC Approval Order (June 20, 2018 )

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-4 Relating to Board Quorum, Meeting, and Voting Requirements

Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 that are Designed to Improve Board Governance

Proposed Rule Change to Waive MSRB Market Activity Fees Related to Transactions with the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System [Refiled to make technical changes. original filed on May 27, 2020]

Proposed Rule Change to Align Certain MSRB Rules to Securities Exchange Act Rule 15l-1, Regulation Best Interest

Proposed Rule Change to Provide Dealers and Municipal Advisors Additional Time to Comply with Certain Obligations for a Temporary Period of Time and Temporarily Suspend Late Fees on Payments Owed to the MSRB

Proposed Rule Change to Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System

Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Proposed Rule Change to Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Increase the Annual Professional Fee Over a Two-Year Phase-In Period

Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities

Proposed Rule Change to Eliminate MSRB Rule G-29, on Availability of Board Rules

Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant

Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records

Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules

Proposed Rule Change to the MSRB's Short-Term Obligation Rate Transparency (SHORT) System Information Facility

Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination

Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Guidance, Notices & Resources

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market