Regulatory Documents

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Notice 2021-03 - Informational Notice

Publication date: 02/16/2021

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2021-02 - Informational Notice

Publication date: 02/11/2021

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-8, Rule G-12, Rule G-14, Rule G-16, Rule G-17, Rule G-20, Rule G-23, Rule G-33, Rule G-37, Rule G-38

Notice 2021-01 - Informational Notice

Publication date: 01/19/2021

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 2020-18 - Informational Notice

Publication date: 12/02/2020

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-16, Rule G-27

Notice 2020-17 - Informational Notice

Publication date: 11/20/2020

Reminder for Regulated Entities of Their Annual Notification Requirements Under Rule G-10

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10, Rule D-9

Notice 2020-16 - Informational Notice

Publication date: 10/27/2020

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2020-15 - Informational Notice

Publication date: 09/10/2020

MSRB Makes Administrative Changes to Board Governance Rules

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-4

Notice 2020-14 - Informational Notice

Publication date: 08/06/2020

MSRB Improves Board Governance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-6

Notice 2020-13 - Approval Notice

Publication date: 06/26/2020

MSRB Harmonizes Rules with Requirements of Regulation Best Interest

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-9, Rule G-19, Rule G-20, Rule G-48

Notice 2020-12 - Informational Notice

Publication date: 06/24/2020

MSRB Enhances Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2020-11 - Informational Notice

Publication date: 05/28/2020

MSRB Waives Market Activity Fees for Transactions with the Municipal Market Liquidity Facility

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-13

Notice 2020-10 - Informational Notice

Publication date: 05/26/2020

MSRB Provides Resources for Municipal Bond Investors about Potential Effects of COVID-19

Notice 2020-09 - Informational Notice

Publication date: 04/09/2020

MSRB Amends Certain Rules to Provide Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27, Rule G-44, Rule A-11, Rule A-12

Notice 2020-08 - Informational Notice

Publication date: 03/23/2020

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Notice 2020-07 - Informational Notice

Publication date: 03/09/2020

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-27, Rule G-44

Notice 2020-06 - Informational Notice

Publication date: 02/25/2020

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2020-05 - Informational Notice

Publication date: 02/21/2020

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 2020-04 - Approval Notice

Publication date: 02/19/2020

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2020-03 - Informational Notice

Publication date: 01/31/2020

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2020-01 - Informational Notice

Publication date: 01/06/2020

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11

Notice 2019-21 - Informational Notice

Publication date: 12/20/2019

MSRB Establishes a Compliance Date of November 30, 2020, for Amendments to Form G-32

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

Notice 2019-20 - Approval Notice

Publication date: 11/08/2019

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2019-19 - Informational Notice

Publication date: 10/18/2019

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-18 - Informational Notice

Publication date: 10/11/2019

MSRB to Launch Permanent Series 54 Examination November 12, 2019

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-17 - Informational Notice

Publication date: 10/10/2019

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Bank Dealers, Dealers, Municipal Advisors

Regulatory Documents for the
Municipal Market

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MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

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

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Reminder for Regulated Entities of Their Annual Notification Requirements Under Rule G-10

MSRB Seeks Input and Volunteers for Advisory Groups

MSRB Makes Administrative Changes to Board Governance Rules

MSRB Improves Board Governance

MSRB Harmonizes Rules with Requirements of Regulation Best Interest

MSRB Enhances Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

MSRB Waives Market Activity Fees for Transactions with the Municipal Market Liquidity Facility

MSRB Provides Resources for Municipal Bond Investors about Potential Effects of COVID-19

MSRB Amends Certain Rules to Provide Regulatory Relief During COVID-19 Pandemic

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

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

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

MSRB Establishes a Compliance Date of November 30, 2020, for Amendments to Form G-32

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

MSRB to Launch Permanent Series 54 Examination November 12, 2019

MSRB Seeks Input and Volunteers for Advisory Groups

Guidance, Notices & Resources

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

Select regulatory documents by category:

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MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market