Regulatory Documents

Select regulatory documents by category:

Compliance Resource

Publication date:

Checklist or Handling Client Complaints

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource

Publication date:

Exemptive Relief under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

MSRB Compliance Workshop on the Form G-37 Submission Process

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Checklist for Certain Organizational Changes by Regulated Entities

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Compliance Resource

Publication date:

Information for Municipal Advisory Clients

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-10

Compliance Resource

Publication date:

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Municipal Advisor Outsourcing of Compliance Functions

Information for:

Municipal Advisors

Rule Number:

Rule G-44

Compliance Resource

Publication date:

Instructions for Forms G-37, G-37x and G-38t

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Summary of Ban on Business Provisions Under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

MSRB Registration Manual

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

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

Compliance Resource

Publication date:

Best Execution: The Investor's Perspective

Information for:

Dealers, Investors

Rule Number:

Rule G-18

Compliance Resource

Publication date:

Information for Municipal Securities Investors

Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-10

Compliance Resource

Publication date:

Preparing to Submit MSRB Form A-12

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-13

Compliance Resource

Publication date:

Form G-45 Manual and Specifications

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Quick links

Checklist or Handling Client Complaints

Exemptive Relief under MSRB Rule G-37

MSRB Compliance Workshop on the Form G-37 Submission Process

Checklist for Certain Organizational Changes by Regulated Entities

Information for Municipal Advisory Clients

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Municipal Advisor Outsourcing of Compliance Functions

Instructions for Forms G-37, G-37x and G-38t

Summary of Ban on Business Provisions Under MSRB Rule G-37

MSRB Registration Manual

Best Execution: The Investor's Perspective

Information for Municipal Securities Investors

Preparing to Submit MSRB Form A-12

Form G-45 Manual and Specifications

Guidance, Notices & Resources

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Quick links

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market