Regulatory Documents

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Notice 2015-23 - Informational Notice

Publication date: 11/20/2015

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

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2015-21 - Informational Notice

Publication date: 11/09/2015

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-20

Notice 2015-20 - Informational Notice

Publication date: 11/03/2015

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-19 - Informational Notice

Publication date: 10/20/2015

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

Notice 2015-17 - Informational Notice

Publication date: 09/30/2015

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-15 - Informational Notice

Publication date: 09/08/2015

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-14 - Informational Notice

Publication date: 09/03/2015

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2015-13 - Informational Notice

Publication date: 08/10/2015

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12, Rule A-13

Notice 2015-12 - Informational Notice

Publication date: 07/31/2015

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-11 - Informational Notice

Publication date: 07/23/2015

MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-09 - Informational Notice

Publication date: 06/30/2015

MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2015-07 - Informational Notice

Publication date: 05/26/2015

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14

Notice 2015-06 - Informational Notice

Publication date: 04/22/2015

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-05 - Informational Notice

Publication date: 03/17/2015

MSRB Amends Fees Charged for Qualification Examinations

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-16

Notice 2015-04 - Informational Notice

Publication date: 03/02/2015

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-1, Rule G-2, Rule G-3, Rule D-13

Notice 2015-03 - Informational Notice

Publication date: 01/29/2015

Bank Loan Disclosure Market Advisory

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-02 - Informational Notice

Publication date: 01/06/2015

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015

Notice 2015-01 - Informational Notice

Publication date: 01/05/2015

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2014-22 - Informational Notice

Publication date: 12/08/2014

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2014-21 - Informational Notice

Publication date: 11/25/2014

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

Notice 2014-19 - Informational Notice

Publication date: 10/24/2014

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9

Notice 2014-17 - Informational Notice

Publication date: 10/17/2014

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2014-13 - Informational Notice

Publication date: 08/04/2014

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3, Rule G-7, Rule G-27

Notice 2014-10 - Informational Notice

Publication date: 05/12/2014

Guidance on the MSRB Municipal Advisor Registration Process

Information for:

Municipal Advisors

Rule Number:

Rule A-12

Notice 2014-11 - Informational Notice

Publication date: 05/12/2014

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-30, Rule G-48

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

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

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities

MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

MSRB Amends Fees Charged for Qualification Examinations

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

Bank Loan Disclosure Market Advisory

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015

MSRB Seeks Applicants for Board of Directors

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Guidance on the MSRB Municipal Advisor Registration Process

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

Guidance, Notices & Resources

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market