Regulatory Documents

Select regulatory documents by category:

Compliance Resource

Publication date: 08/04/2016

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

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

Notice 2016-17 - Informational Notice

Publication date: 06/15/2016

MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination

Information for:

Municipal Advisors

Notice 2016-16 - Informational Notice

Publication date: 05/31/2016

MSRB to Launch Permanent Series 50 Exam September 12, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2016-15 - Informational Notice

Publication date: 05/02/2016

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2016-14 - Informational Notice

Publication date: 04/12/2016

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule D-12

Notice 2016-12 - Informational Notice

Publication date: 04/04/2016

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource

Publication date: 04/01/2016

Municipal Advisors: Understanding Standards of Conduct

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42

Notice 2016-10 - Informational Notice

Publication date: 03/18/2016

SEC Approves Amendments to MSRB Rule A-3, on Membership on the Board, to Lengthen the Term of Board Member Service

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Notice 2016-09 - Informational Notice

Publication date: 03/02/2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 03/02/2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2016-08 - Informational Notice

Publication date: 02/23/2016

MSRB Amends its Rule Regarding Calculations for Bonds that Do Not Pay Interest Semi-Annually

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-33

Notice 2016-06 - Approval Notice

Publication date: 02/17/2016

Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

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

Notice 2016-05 - Informational Notice

Publication date: 01/28/2016

MSRB Revises Content Outline for the General Securities Sales Supervisor Qualification Examination

Information for:

Bank Dealers, Dealers

Notice 2016-04 - Informational Notice

Publication date: 01/19/2016

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

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Notice 2016-03 - Approval Notice

Publication date: 01/13/2016

SEC Approves New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

Compliance Resource

Publication date: 01/04/2016

Underwriters: Understanding Duties of Municipal Advisors

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-42

Notice 2016-01 - Informational Notice

Publication date: 01/04/2016

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Notice 2015-23 - Informational Notice

Publication date: 11/20/2015

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2015-21 - Informational Notice

Publication date: 11/09/2015

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-20

Notice 2015-20 - Informational Notice

Publication date: 11/03/2015

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-19 - Informational Notice

Publication date: 10/20/2015

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

Notice 2015-17 - Informational Notice

Publication date: 09/30/2015

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-15 - Informational Notice

Publication date: 09/08/2015

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-14 - Informational Notice

Publication date: 09/03/2015

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2015-13 - Informational Notice

Publication date: 08/10/2015

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12, Rule A-13

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

MSRB Revises Content Outline for the Municipal Advisor Representative Qualification Examination

MSRB to Launch Permanent Series 50 Exam September 12, 2016

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

Municipal Advisors: Understanding Standards of Conduct

SEC Approves Amendments to MSRB Rule A-3, on Membership on the Board, to Lengthen the Term of Board Member Service

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

MSRB Amends its Rule Regarding Calculations for Bonds that Do Not Pay Interest Semi-Annually

Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934

MSRB Revises Content Outline for the General Securities Sales Supervisor Qualification Examination

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

SEC Approves New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Underwriters: Understanding Duties of Municipal Advisors

MSRB Seeks Applicants for Board of Directors

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

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