Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-9
Last Updated:
06/25/2020
Preservation of Records
Rule Summary: Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule G-32
Last Updated:
02/22/2021
Disclosures In Connection With Primary Offerings
Rule Summary: Requires underwriters to submit certain information to the Electronic Municipal Market Access (EMMA®) system and dealers to provide certain information to customers in connection with primary offerings.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
Rule A-13
Last Updated:
01/01/2026
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
SEC Filing (09/30/2025)
Proposed Rule Change to Amend MSRB Rules A-11 and A-13 Pursuant to a Multi-Year Rate Card and to Make Related Technical Amendments
Notice (12/22/2025)
SEC Approves Amendments to MSRB Rules A-11 and A-13 Establishing New Multi-Year Rate Card Fees for Dealers and Municipal Advisors
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations