Regulatory Documents

Select regulatory documents by category:

Notice 2003-27 - Informational Notice

Publication date: 07/03/2003

Proposed Rule Change to Amend Rule A-14, on Annual Fees

Notice 2003-26 - Informational Notice

Publication date: 07/01/2003

Notice of Technical Amendments to Form G-40, on E-Mail Contacts

Notice 2003-25 - Informational Notice

Publication date: 06/30/2003

Electronic G-37 Submission System (eG-37 System) Becomes Operational

Rule Number:

Rule G-37

Notice 2003-24 - Informational Notice

Publication date: 06/13/2003

Specifications for Real-time Reporting of Municipal Securities Transactions

Notice 2003-22 - Informational Notice

Publication date: 06/09/2003

Reminder Regarding Testing Changes to Current Transaction Reporting System

Notice 2003-21 - Informational Notice

Publication date: 05/27/2003

MSRB and TBMA to Hold Compliance Seminar

Notice 2003-20 - Informational Notice

Publication date: 05/23/2003

Notice on Reporting and Comparison of Certain Transactions Effected by Investment Advisors: Rules G-12(f) and G-14

Rule Number:

Rule G-12, Rule G-14

Notice 2003-19 - Informational Notice

Publication date: 05/22/2003

Proposed Rule Change to Adopt New Rule G-41, on Anti-Money Laundering Compliance

Rule Number:

Rule G-41

Notice 2003-18 - Informational Notice

Publication date: 05/21/2003

Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14

Rule Number:

Rule G-14

Notice 2003-17 - Informational Notice

Publication date: 05/12/2003

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

Rule Number:

Rule G-37, Rule G-8

Notice 2003-16 - Informational Notice

Publication date: 04/30/2003

SEC Approves Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

Notice 2003-14 - Informational Notice

Publication date: 04/17/2003

A Message From GASB Chairman Tom Allen Regarding a Proposed GASB Technical Bulletin, Disclosure Requirements for Derivatives Not Presented at Fair Value on the Statements of Net Assets

Notice 2003-12 - Informational Notice

Publication date: 04/07/2003

Proposed Rule Change Concerning T+1 Public Reporting of Transactions in Municipal Securities

Notice 2003-13 - Informational Notice

Publication date: 04/07/2003

Operational Overview of MSRB's Real-Time Transaction Reporting System

Notice 2003-11 - Informational Notice

Publication date: 03/26/2003

Amendment Filed to Rule G-37 Rule Change Pending at SEC

Rule Number:

Rule G-37, Rule G-8

Notice 2003-10 - Informational Notice

Publication date: 03/21/2003

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

Rule Number:

Rule G-37, Rule G-8

Notice 2003-08 - Informational Notice

Publication date: 03/04/2003

Financial Statements—Fiscal Years Ended September 30, 2002 and 2001

Notice 2003-09 - Informational Notice

Publication date: 03/04/2003

SEC Approves Amendment to Rule G-28 on Sales to Employees of Other Dealers

Rule Number:

Rule G-28

Notice 2003-07 - Informational Notice

Publication date: 03/03/2003

Reminder Regarding MSRB Rule G-14 Transaction Reporting Requirements

Rule Number:

Rule G-14, Rule G-12

Notice 2003-06 - Informational Notice

Publication date: 02/28/2003

Reminder: To Supervise Municipal Fund Securities Activities, a Municipal Fund Securities Limited Principal (Series 51) or Municipal Securities Principal (Series 53) Qualification is Required by April 1, 2003

Rule Number:

Rule G-3

Notice 2003-05 - Informational Notice

Publication date: 02/26/2003

Real-Time Transaction Reporting: Joint Seminar Announcement

Notice 2003-04 - Informational Notice

Publication date: 02/07/2003

Statement of the MSRB on Market Emergency Filing

Notice 2003-03 - Informational Notice

Publication date: 02/03/2003

Plans for MSRB's Real-Time Transaction Reporting System

Rule Number:

Rule G-14

Notice 2003-02 - Informational Notice

Publication date: 01/24/2003

Recommendations Requested for Board Nominations

Notice 2003-01 - Informational Notice

Publication date: 01/09/2003

Municipal Fund Securities Limited Principals (Series 51) and E-Mail Contacts under Rule G-40

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Amend Rule A-14, on Annual Fees

Notice of Technical Amendments to Form G-40, on E-Mail Contacts

Electronic G-37 Submission System (eG-37 System) Becomes Operational

Specifications for Real-time Reporting of Municipal Securities Transactions

Reminder Regarding Testing Changes to Current Transaction Reporting System

MSRB and TBMA to Hold Compliance Seminar

Notice on Reporting and Comparison of Certain Transactions Effected by Investment Advisors: Rules G-12(f) and G-14

Proposed Rule Change to Adopt New Rule G-41, on Anti-Money Laundering Compliance

Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

SEC Approves Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

A Message From GASB Chairman Tom Allen Regarding a Proposed GASB Technical Bulletin, Disclosure Requirements for Derivatives Not Presented at Fair Value on the Statements of Net Assets

Proposed Rule Change Concerning T+1 Public Reporting of Transactions in Municipal Securities

Operational Overview of MSRB's Real-Time Transaction Reporting System

Amendment Filed to Rule G-37 Rule Change Pending at SEC

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

Financial Statements—Fiscal Years Ended September 30, 2002 and 2001

SEC Approves Amendment to Rule G-28 on Sales to Employees of Other Dealers

Reminder Regarding MSRB Rule G-14 Transaction Reporting Requirements

Reminder: To Supervise Municipal Fund Securities Activities, a Municipal Fund Securities Limited Principal (Series 51) or Municipal Securities Principal (Series 53) Qualification is Required by April 1, 2003

Real-Time Transaction Reporting: Joint Seminar Announcement

Statement of the MSRB on Market Emergency Filing

Plans for MSRB's Real-Time Transaction Reporting System

Recommendations Requested for Board Nominations

Municipal Fund Securities Limited Principals (Series 51) and E-Mail Contacts under Rule G-40

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market