Regulatory Documents

Select regulatory documents by category:

Notice 2019-07 - Informational Notice

Publication date: 02/26/2019

MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-06 - Informational Notice

Publication date: 02/11/2019

MSRB Amends Rule A-16 on Examination Fees

Information for:

Municipal Advisors

Rule Number:

Rule A-16

Notice 2019-05 -

Publication date: 02/07/2019

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

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18

Notice 2019-04 - Informational Notice

Publication date: 02/05/2019

MSRB Identifies Priority Rules for Retrospective Review in 2019

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2019-03 - Informational Notice

Publication date: 01/28/2019

MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-02 - Informational Notice

Publication date: 01/07/2019

MSRB Solicits Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-33 - Informational Notice

Publication date: 12/20/2018

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-32 - Informational Notice

Publication date: 12/19/2018

MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

Information for:

Municipal Advisors

Rule Number:

Rule G-40

Notice 2018-31 - Approval Notice

Publication date: 12/13/2018

SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2018-30 - Approval Notice

Publication date: 11/28/2018

SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-28 - Regulatory Reminder

Publication date: 11/08/2018

Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-27 - Informational Notice

Publication date: 09/25/2018

MSRB Facilitates Requests for Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-26 - Informational Notice

Publication date: 09/19/2018

MSRB Proposes a Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-24 - Informational Notice

Publication date: 09/17/2018

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

Information for:

Municipal Advisors

Rule Number:

Rule G-40

Notice 2018-23 - Informational Notice

Publication date: 09/11/2018

MSRB Expands Advisory Groups and Seeks Volunteers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-17 - Regulatory Reminder

Publication date: 08/14/2018

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

Notice 2018-18 - Regulatory Reminder

Publication date: 08/14/2018

Compliance Advisory for Municipal Advisors

Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44

Notice 2018-16 - Approval Notice

Publication date: 07/23/2018

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Notice 2018-13 - Informational Notice

Publication date: 06/25/2018

MSRB Revises Content Outlines for Professional Qualification Examinations

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-11 - Informational Notice

Publication date: 06/11/2018

MSRB Modifies Professional Qualifications Program

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-08 - Approval Notice

Publication date: 05/07/2018

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2018-07 - Regulatory Reminder

Publication date: 04/12/2018

Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-19, Rule G-30, Rule G-47

Notice 2018-06 - Informational Notice

Publication date: 04/04/2018

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2018-05 -

Publication date: 03/19/2018

MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2018-04 - Informational Notice

Publication date: 03/13/2018

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

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments

MSRB Amends Rule A-16 on Examination Fees

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

MSRB Identifies Priority Rules for Retrospective Review in 2019

MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40

MSRB Solicits Applicants for Board of Directors

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs

SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination

Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website

MSRB Facilitates Requests for Interpretive Guidance

MSRB Proposes a Municipal Advisor Principal Qualification Examination

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

MSRB Expands Advisory Groups and Seeks Volunteers

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Compliance Advisory for Municipal Advisors

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

MSRB Revises Content Outlines for Professional Qualification Examinations

MSRB Modifies Professional Qualifications Program

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price

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

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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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