24 Results Found
Regulatory Document
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Bank Dealers, Dealers, Municipal Advisors
/Designation-Information-Regarding-Mandatory-Participation-Business-Continuity-and-Disaster-6
Regulatory Document
Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records
Issuers, Municipal Advisors
/Regulation-and-Compliance/Proposed-Rule-Change-Consisting-Amendments-MSRB-Rule-G-40-Advertising
Regulatory Document
Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records
Issuers, Municipal Advisors
/Regulation-and-Compliance/Proposed-Rule-Change-Create-New-MSRB-Rule-G-46-Duties-Solicitor-Municipal
Regulatory Document
Compliance Tip of the Week Archive
Bank Dealers, Dealers, Municipal Advisors
/Regulation-and-Compliance/Compliance-Tip-Week-Archive-0
Regulatory Document
Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference
Bank Dealers, Dealers
/Regulation-and-Compliance/Proposed-Rule-Change-Amend-MSRB-Rules-G-12-and-G-15-Define-Regular-Way
Regulatory Document
SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8
General Public, Issuers, Municipal Advisors
/Regulation-and-Compliance/SEC-Approves-New-MSRB-Rule-G-46-Duties-Solicitor-Municipal-Advisors-and
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities
Dealers
/Regulation-and-Compliance/Proposed-Rule-Change-Amend-MSRB-Rule-G-27-Further-Extend-Current
Regulatory Document
MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16
Dealers
/Regulation-and-Compliance/MSRB-Provides-Additional-Regulatory-Relief-Further-Extending-Temporary
Regulatory Document
Common Compliance Questions & News Library
Bank Dealers, Dealers, Municipal Advisors
/Regulation-and-Compliance/Common-Compliance-Questions-News-Library-1
Regulatory Document
SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media
Issuers, Municipal Advisors
/Regulation-and-Compliance/SEC-Approves-Amended-MSRB-Rule-G-40-Advertising-Municipal-Advisors
Regulatory Document
MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1
Dealers
/Regulation-and-Compliance/MSRB-Adopts-Amendments-Rules-G-12-and-G-15-Shortening-Regular-Way
Regulatory Document
Assessing Supervision of Municipal Advisor Advertising Regulations
/Regulation-and-Compliance/Assessing-Supervision-Municipal-Advisor-Advertising-Regulations-1
Regulatory Document
Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40
/Regulation-and-Compliance/Application-Content-Standards-Advertisements-Municipal-Advisors-under-1
Regulatory Document
FAQs on Use of Municipal Advisory Client Lists and Case Studies
/Regulation-and-Compliance/FAQs-Use-Municipal-Advisory-Client-Lists-and-Case-Studies-0
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books and Records Requirements [Refiled to make technical changes, original filed on July 17, 2023]
Dealers, Municipal Advisors
/Regulation-and-Compliance/Proposed-Rule-Change-Amend-MSRB-Rule-G-3-Create-Exemption-Municipal
Regulatory Document
SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8
Municipal Advisors
/Regulation-and-Compliance/SEC-Approves-Amended-MSRB-Rule-G-3-Creating-Exemption-Municipal-Advisor
Regulatory Document
Request for Comment on Retrospective Rule Review of Rule G-12(c) on Inter-Dealer Confirmations and Related Interpretive Guidance
Bank Dealers, Dealers, General Public, Investors
/Regulation-and-Compliance/Request-Comment-Retrospective-Rule-Review-Rule-G-12c-Inter-Dealer
Regulatory Document
MSRB Seeks Input and Volunteers for Advisory Groups
Dealers, Issuers, Municipal Advisors
/MSRB-News/MSRB-Seeks-Input-and-Volunteers-Advisory-Groups
Regulatory Document
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) 
Dealers, Municipal Advisors
/Regulation-and-Compliance/Proposed-Rule-Change-Establish-2024-Rate-Card-Fees-Dealers-and-Municipal
Regulatory Document
MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors
Dealers, Municipal Advisors
/Regulation-and-Compliance/MSRB-Establishes-2024-Annual-Rate-Card-Fees-Dealers-and-Municipal
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date [Refiled to make technical changes, original filed on December 14, 2023]
Dealers
/Regulation-and-Compliance/Proposed-Rule-Change-Amend-MSRB-Rule-G-12-Promote-Completion-Allocations
Regulatory Document
FAQs regarding the Use of Social Media under MSRB Rule G-21, on Advertising by Brokers, Dealers or Municipal Securities Dealers, and MSRB Rule G-40, on Advertising by Municipal Advisors
/Regulation-and-Compliance/FAQs-regarding-Use-Social-Media-under-MSRB-Rule-G-21-Advertising-0
Regulatory Document
Request for Information on Impacts of MSRB Rules on Small Firms
Dealers, General Public, Municipal Advisors
/Regulation-and-Compliance/Request-Information-Impacts-MSRB-Rules-Small-Firms
Regulatory Document
Request for Comment Regarding a Retrospective Review of the MSRB’s Time of Trade Disclosure Rule and Draft Amendments to MSRB Rule D-15, On Sophisticated Municipal Market Professionals
Dealers, General Public, Investors
/Regulation-and-Compliance/Request-Comment-Regarding-a-Retrospective-Review-MSRBs-Time-Trade-0
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