Regulatory Documents

Select regulatory documents by category:

SEC Filing SR-MSRB-2018-01

Publication date: 01/24/2018

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

Federal Register Notice of Approval (May 10, 2018 )

SEC Approval Order (May 07, 2018 )

MSRB Response to Comments (April 30, 2018 )

SEC Request for Extension of Time (March 16, 2018 )

Federal Register Notice of Filing (February 07, 2018 )

Read More Show Less

SEC Filing SR-MSRB-2017-08

Publication date: 10/13/2017

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Federal Register Notice of Approval (December 14, 2017 )

SEC Approval Order (December 08, 2017 )

MSRB Response to Comments (December 01, 2017 )

Federal Register Notice of Filing (October 27, 2017 )

Read More Show Less

SEC Filing SR-MSRB-2017-07

Publication date: 09/29/2017

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

Federal Register Notice of Immediately Effective Rule Change (October 16, 2017 )

SEC Approval Order (October 10, 2017 )

Read More Show Less

SEC Filing SR-MSRB-2017-06

Publication date: 08/30/2017

Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

Federal Register Notice of Approval (December 20, 2017 )

SEC Approval Order (December 14, 2017 )

MSRB Response to Comments (December 08, 2017 )

Federal Register Notice of Filing of Amendment No. 1 (November 17, 2017 )

Amendment No. 1 (November 07, 2017 )

MSRB Response to Comments (November 07, 2017 )

SEC Request for Extension of Time (October 18, 2017 )

Federal Register Notice of Filing (September 18, 2017 )

Read More Show Less

SEC Filing SR-MSRB-2017-05

Publication date: 07/19/2017

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

MSRB Response to Comments (September 14, 2017 )

Federal Register Notice of Immediately Effective Rule Change (August 04, 2017 )

SEC Approval Order (July 31, 2017 )

Read More Show Less

SEC Filing SR-MSRB-2017-04

Publication date: 06/22/2017

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

Federal Register Notice of Approval (August 24, 2017 )

SEC Approval Order (August 18, 2017 )

MSRB Response to Comments (August 09, 2017 )

Amendment No. 1 (August 09, 2017 )

Federal Register Notice of Filing (July 07, 2017 )

Read More Show Less

SEC Filing SR-MSRB-2017-03

Publication date: 05/26/2017

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

Federal Register Notice of Approval (August 02, 2017 )

SEC Approval Order (July 27, 2017 )

Amendment No. 1 (July 20, 2017 )

MSRB Response to Comments (July 20, 2017 )

Federal Register Notice of Filing (June 14, 2017 )

Read More Show Less

SEC Filing SR-MSRB-2017-02

Publication date: 03/22/2017

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

Federal Register Notice of Approval (May 22, 2017 )

SEC Approval Order (May 16, 2017 )

MSRB Response to Comment (May 10, 2017 )

Federal Register Notice of Filing (April 04, 2017 )

Read More Show Less

SEC Filing SR-MSRB-2016-15

Publication date: 11/01/2016

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

Federal Register Notice of Approval (January 23, 2017 )

SEC Approval Order (January 13, 2017 )

Amendment No. 1 (January 10, 2017 )

MSRB Response to Comments (January 10, 2017 )

SEC Request for Extension of Time (December 13, 2016 )

Federal Register Notice of Filing (November 18, 2016 )

Read More Show Less

SEC Filing SR-MSRB-2016-14

Publication date: 10/25/2016

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

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

SEC Approval Order (November 04, 2016 )

Read More Show Less

SEC Filing SR-MSRB-2016-13

Publication date: 10/24/2016

Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum

Federal Register Notice of Immediately Effective Rule Change (November 09, 2016 )

SEC Approval Order (November 03, 2016 )

Read More Show Less

SEC Filing SR-MSRB-2016-12

Publication date: 09/01/2016

Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price

Federal Register Notice of Approval (November 23, 2016 )

SEC Approval Order (November 17, 2016 )

MSRB Response to Comments (November 14, 2016 )

Amendment No. 1 (November 14, 2016 )

SEC Request for Extension of Time (October 19, 2016 )

Federal Register Notice of Filing (September 13, 2016 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

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

Amendment No. 1 (July 25, 2016 )

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

Federal Register Notice of Filing (June 01, 2016 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

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 )

Read More Show Less

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Quick links

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

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

Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum

Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price

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

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

Quick links

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market