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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-1 Rules of the Board
Rule A-2 Powers of the Board
Rule A-3 Board Membership: Composition, Elections, Removal, Compensation Dealers, Municipal Advisors, Bank Dealers
Rule A-4 Meetings of the Board
Rule A-5 Officers and Employees of the Board
Rule A-6 Committees of the Board
Rule A-7 Assessments Dealers, Municipal Advisors, Bank Dealers
Rule A-8 Rulemaking Procedures Dealers
Rule A-9 Fiscal Year
Rule A-10 Independent Audit
Rule A-11 Assessments for Municipal Advisor Professionals
Municipal Advisors
Rule A-12 Registration
Dealers, Municipal Advisors
Rule A-13 Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Dealers, Bank Dealers, Municipal Fund Securities
Rule A-14 Rule A-14-Reserved
Rule A-15 Rule A-15-Reserved
Rule A-16 Examination Fees Dealers, Municipal Advisors, Bank Dealers
Rule A-17 Confidentiality of Examination Reports
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
IF-1 Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
IF-2 Short-Term Obligation Rate Transparency System
IF-3 Electronic Municipal Market Access System - EMMA
Rule A-1
Last Updated: No amendment history
Rules of the Board
Status:
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Rule A-2
Last Updated: No amendment history
Powers of the Board
Status:
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Rule A-3
Last Updated: No amendment history
Board Membership: Composition, Elections, Removal, Compensation
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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Rule A-4
Last Updated: No amendment history
Meetings of the Board
Status:
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Rule A-5
Last Updated: No amendment history
Officers and Employees of the Board
Status:
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Rule A-6
Last Updated: No amendment history
Committees of the Board
Status:
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Rule A-7
Last Updated: No amendment history
Assessments
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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Rule A-8
Last Updated: No amendment history
Rulemaking Procedures
Rule for:

Dealers

Status:
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Rule A-9
Last Updated: No amendment history
Fiscal Year
Status:
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Rule A-10
Last Updated: No amendment history
Independent Audit
Status:
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Rule A-11
Last Updated: 08/09/2022
Assessments for Municipal Advisor Professionals
Rule for:

Municipal Advisors

Status:
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SEC Filing
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
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SEC Filing
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) 
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Notice
MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees
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Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
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Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
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Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers, Municipal Advisors

Status:
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Compliance Resource
Steps for Registering as a Municipal Advisor
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Rule A-13
Last Updated: 08/09/2022
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
View rule
SEC Filing
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
View SEC Filing
SEC Filing
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) 
View SEC Filing
Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
View Notice
Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
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Rule A-14
Last Updated: No amendment history
Rule A-14-Reserved
Status:
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Rule A-15
Last Updated: No amendment history
Rule A-15-Reserved
Status:
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Rule A-16
Last Updated: No amendment history
Examination Fees
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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Rule A-17
Last Updated: No amendment history
Confidentiality of Examination Reports
Status:
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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:
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Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
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IF-1
Last Updated: No amendment history
Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
Status:
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SEC Filing
Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection
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Notice
SEC Approves Amendments to MSRB Rule G-14 on Reporting of Transaction Prices
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Notice
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
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Notice
MSRB Amends Real-Time Transaction Reporting and Price Dissemination Information Facility to Consolidate Subscriber Access to Real-Time Transaction Reporting System Data
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IF-2
Last Updated: No amendment history
Short-Term Obligation Rate Transparency System
Status:
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IF-3
Last Updated: No amendment history
Electronic Municipal Market Access System - EMMA
Status:
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