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Notice 2022-10 - Informational Notice
Publication date:
MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

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Notice 2022-09 - Informational Notice
Publication date:
MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements
Information for:

Dealers

Rule Number:

Rule G-3

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Notice 2022-08 - Approval Notice
Publication date:
SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

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Notice 2022-06 - Informational Notice
Publication date:
MSRB Revises and Resubmits Annual Rate Card Amendments
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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Notice 2022-05 - Informational Notice
Publication date:
MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

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Notice 2022-04 - Informational Notice
Publication date:
MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

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Notice 2022-03 - Informational Notice
Publication date:
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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Notice 2022-02 - Informational Notice
Publication date:
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

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Notice 2022-01 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Notice 2021-16 - Informational Notice
Publication date:
MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-17, Rule G-27, Rule G-42, Rule G-44

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Notice 2021-15 - Informational Notice
Publication date:
MSRB Seeks Input and Volunteers for Advisory Group
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

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Notice 2021-14 - Informational Notice
Publication date:
MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

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Notice 2021-13 - Informational Notice
Publication date:
SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-10, Rule G-48

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Notice 2021-11 - Informational Notice
Publication date:
MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2021-10 - Informational Notice
Publication date:
MSRB Provides Interim Accommodation for the Municipal Advisor Principal Qualification Examination (Series 54 Exam)
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2021-09 - Informational Notice
Publication date:
MSRB Updates Rule A-8, on Rulemaking Procedures
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-8

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Notice 2021-05 - Informational Notice
Publication date:
MSRB Temporarily Reduces Market Activity Fees by 40 Percent
Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

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Notice 2021-04 - Informational Notice
Publication date:
MSRB Extends Compliance Date for Amended Form G-32
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

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Notice 2021-03 - Informational Notice
Publication date:
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

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Notice 2021-02 - Informational Notice
Publication date:
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

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Notice 2021-01 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Notice 2020-18 - Informational Notice
Publication date:
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

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Notice 2020-17 - Informational Notice
Publication date:
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

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Notice 2020-16 - Informational Notice
Publication date:
MSRB Seeks Input and Volunteers for Advisory Groups
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

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Notice 2020-15 - Informational Notice
Publication date:
MSRB Makes Administrative Changes to Board Governance Rules
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-4

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