Click to see Rules that have recent rulemaking activity or compliance resources:
Rule A-12
Last Updated:
08/09/2022
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
SEC Filing (11/30/2023)
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)
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
Notice (02/16/2024)
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
Notice (01/30/2024)
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
Rule A-16
Last Updated:
No amendment history
Rule A-18
Last Updated:
No amendment history
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Notice (01/16/2026)
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Testing
Notice (01/17/2025)
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule D-8
Last Updated:
No amendment history
Rule D-9
Last Updated:
No amendment history
Rule D-10
Last Updated:
No amendment history
Rule D-11
Last Updated:
No amendment history
Rule D-13
Last Updated:
No amendment history
Rule D-14
Last Updated:
No amendment history
"Appropriate Regulatory Agency"
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule D-15
Last Updated:
No amendment history
Request for Comment on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional