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Notice 2018-17 - Regulatory Reminder
Publication date:
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

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Notice 2018-18 - Regulatory Reminder
Publication date:
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

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Notice 2018-16 - Approval Notice
Publication date:
MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

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Notice 2018-13 - Informational Notice
Publication date:
MSRB Revises Content Outlines for Professional Qualification Examinations
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

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Notice 2018-11 - Informational Notice
Publication date:
MSRB Modifies Professional Qualifications Program
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

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Notice 2018-08 - Approval Notice
Publication date:
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

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Notice 2018-07 - Regulatory Reminder
Publication date:
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

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Notice 2018-06 - Informational Notice
Publication date:
MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

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Notice 2018-05 -
Publication date:
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

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Notice 2018-04 - 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 2018-02 - Informational Notice
Publication date:
MSRB Seeks Applicants for Board of Directors
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-01 - Regulatory Reminder
Publication date:
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-43

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Notice 2017-25 - Approval Notice
Publication date:
MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

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Notice 2017-24 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans
Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

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Notice 2017-23 - Informational Notice
Publication date:
MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2017-21 - Informational Notice
Publication date:
MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

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Notice 2017-20 - Informational Notice
Publication date:
MSRB Amends Professional Fee for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule A-11

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Notice 2017-16 - Approval Notice
Publication date:
SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-21

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Notice 2017-15 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

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Notice 2017-13 - Informational Notice
Publication date:
MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-42

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Notice 2017-12 - Informational Notice
Publication date:
MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-15, Rule G-30

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Notice 2017-10 - Approval Notice
Publication date:
SEC Approves Continuing Education Requirements for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

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Notice 2017-09 - Informational Notice
Publication date:
MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2017-08 - Informational Notice
Publication date:
Application of MSRB Rules to Solicitor Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

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Notice 2017-07 - Informational Notice
Publication date:
MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-15

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