Dealer Forms and Manuals

Dealers must keep current their form filings with the MSRB that pertain to its rules on political contributions and contact information.

Dealer Forms and Manuals

Registration for Transaction Reporting - Form RTRS
Form RTRS is used by municipal securities dealers to inform the MSRB if they will engage in activities subject to Rule G-14 and to submit and update information necessary to ensure that trade reports can be processed correctly in connection with the MSRB's Real-time Transaction Reporting Service (RTRS). The form can only be submitted electronically and accessed through MSRB Gateway.

Reporting Political Contributions - Forms G-37, G-37x and G-38t

  • Form G-37 is used by dealers to report any contributions made to municipal securities issuer officials, payments made to state or local political parties and contributions to bond ballot campaigns by a dealer, its municipal finance professionals, the dealer’s executive officers and political action committees controlled by the dealer or its municipal finance professionals. The form can be submitted electronically or in hard copy. Read more about submitting political contribution disclosures.
  • Form G-37x is used by dealers to disclose that they did not engage in municipal securities business as defined in MSRB Rule G-37. The form can be submitted electronically or in hard copy.
  • Form G-38t is used by dealers to disclose certain pending payments to former consultants used to solicit municipal securities business. This form must be submitted in hard copy only. 

Submitting Primary Market Disclosures - Form G-32
Form G-32 consists of the data elements provided electronically through the MSRB's Electronic Municipal Market Access (EMMA) system in connection with a primary offering of municipal securities under MSRB Rule G-32. Electronic Form G-32 is used by municipal securities dealers to submit official statements, advance refunding documents and other primary market disclosure documents and related information. Read more about submitting primary market disclosures.

Customer Account Transfer Instructions - Form G-26
Form G-26 consists of customer account transfer instructions that may be used by municipal securities dealers for those customers seeking to transfer their municipal securities account from their current dealer (the carrying party) to a new dealer (the receiving party). 

Electronic Mail Contact Information - Form G-40 
Form G-40 is used by municipal securities dealers to appoint a Primary Contact for purposes of electronic communication between the dealer organization and the MSRB. The form is also used for subsequent updates and amendments to the Primary Electronic G-40 contact, and the annual G-40/affirmation filing. Updates and annual filings must be submitted electronically by accessing the electronic Form G-40 via MSRB GatewayRead guidance on MSRB Rule G-40 and Form G-40.

Manual on Close-Out Procedures
The Manual on Close-Out Procedures outlines provisions of MSRB Rule G-12(h)(i) governing the close-out procedures available for municipal securities dealers.

User Manuals and Specifications for MSRB Systems
The MSRB publishes user manuals, specifications, and other documentation that describe in detail how to use its market information systems.